Robert Friedmann
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.
Robert Friedmann, who also goes by Robert Stephen Friedmann, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2004. Robert had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2013 - February 17, 2016
TRIDENT PARTNERS LTD.
March 15, 2011 - June 21, 2013
MERRIMAC CORPORATE SECURITIES, INC.
August 24, 2010 - January 5, 2011
J.P. TURNER & COMPANY, L.L.C.
April 29, 2010 - August 31, 2010
NYLIFE SECURITIES LLC
February 29, 2008 - March 26, 2010
MSI FINANCIAL SERVICES, INC.
September 6, 2006 - January 3, 2008
J.P. TURNER & COMPANY, L.L.C.
January 4, 2006 - October 5, 2006
THE CONCORD EQUITY GROUP, LLC
April 23, 2004 - December 31, 2005
GUNNALLEN FINANCIAL, INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRIDENT PARTNERS LTD.
CRD#: 41258 / SEC#: , 8-49342
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
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.
