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JF

Jeremy D. Friedberg

Some features on this profile are disabled
CRD#: 4424429
JF

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Jeremy David Friedberg was a registered financial professional .

Jeremy is a previously registered financial professional and started their career in finance in 2001. Jeremy had worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 30, 2007 - January 16, 2020

PORTFOLIO BROKERAGE SERVICES, INC.

BD
CRD#: 18554
CHICAGO, IL
Past

July 26, 2007 - May 6, 2021

ENVESTNET PMC

RIA
CRD#: 111694
CHICAGO, IL
Past

December 1, 2004 - January 3, 2006

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
CHICAGO, IL
Past

December 1, 2004 - January 3, 2006

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

November 25, 2003 - November 3, 2004

BANC ONE SECURITIES CORPORATION

RIA
CRD#: 16999
CHICAGO, IL
Past

November 25, 2003 - November 3, 2004

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

August 17, 2001 - November 19, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
ROSEMONT, IL
Past

July 25, 2001 - November 19, 2003

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

July 25, 2001 - November 19, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/6/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 7/15/2005
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 7/24/2001
General Securities Representative Examination

Current Firm

PB
PORTFOLIO BROKERAGE SERVICES, INC.
PMC, INC. | PORTFOLIO MANAGEMENT CONSULTANTS, LTD. | PORTFOLIO MANAGEMENT CONSULTANTS, INC. | PORTFOLIO BROKERAGE SERVICES, INC.

CRD#: 18554 / SEC#: , 8-36915

BD
Withdrawn by SEC on 02/25/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Colorado since 05/06/1994
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PMC INTERNATIONAL, INC.PARENT COMPANY
LUGOWSKI, MICHAEL GIORDANOCHIEF COMPLIANCE OFFICER5132003

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

PORTFOLIO BROKERAGE SERVICES, INC.

CRD#: 18554

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