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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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Mitchell J. Friedman

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CRD#: 4995932
MF

Professional summary

Mitchell Jay Friedman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Mitchell is a previously registered financial professional and started their career in finance in 2006. Prior to being barred, Mitchell had worked at 1 firm, which includes SHARPE 4 SECURITIES LLC.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mitchell J Friedman

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

March 21, 2006 - May 31, 2007

SHARPE 4 SECURITIES, LLC

BD
CRD#: 136353
SAN FRANCISCO, CA

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

General Industry/Product Exam
RR
Series 7
Date: 3/20/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/19/2006
General Securities Principal Examination

Current Firm

S4
SHARPE 4 SECURITIES, LLC
MONTGOMERY STREET PARTNERS, LLC | SHARPE 4 SECURITIES, LLC

CRD#: 136353 / SEC#: , 8-67001

BD
Terminated by SEC on 07/15/2007
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
California since 05/25/2004
Firm type
Limited Liability Company
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BARRETTO, EDWIN ANTHONYPRESIDENT
FRIEDMAN, MITCHELL JAYCHIEF COMPLIANCE OFFICER
NOTAS, BERNARD MEYERFINOP

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

SHARPE 4 SECURITIES, LLC

CRD#: 136353

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