Houston J. Friend

REDEEM WEALTH MANAGEMENT

Gilbert, AZ 85295

Some features on this profile are disabled

CRD#: 6560237

Professional summary

Houston James Friend, who also goes by Houston Friend, is a registered financial advisor currently at REDEEM WEALTH MANAGEMENT located in Gilbert, Arizona.

Houston is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Houston has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Houston Friend

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) - RIA

Click below to view Houston James Friend's CRS (Customer Relationship Summary).

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

Current

August 10, 2021 - Present

REDEEM WEALTH MANAGEMENT

Office #1: 2162 E. Williams Field Rd Suite 111, Gilbert, AZ 85295

RIA

CRD#: 313761

Gilbert, AZ

Past

September 11, 2020 - July 14, 2021

PERSONAL CAPITAL ADVISORS CORPORATION

RIA

CRD#: 155172

Phoenix, AZ

Past

September 14, 2018 - September 18, 2020

EDELMAN FINANCIAL ENGINES

RIA

CRD#: 104510

PHOENIX, AZ

Past

July 13, 2018 - September 26, 2018

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BOSTON, MA

Past

April 18, 2018 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SCOTTSDALE, AZ

Past

March 29, 2016 - September 24, 2018

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SCOTTSDALE, AZ

Past

October 22, 2015 - March 18, 2016

EQUITABLE ADVISORS, LLC

CRD#: 6627

WELLESLEY, MA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(8/10/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/27/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/19/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/24/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/22/2015

General Securities Representative Examination

Current Firm

REDEEM WEALTH MANAGEMENT

REDEEM FINANCIAL GROUP LLC | REDEEM WEALTH MANAGEMENT

CRD#: 313761 / SEC#:

Arizona

Registered Investment Advisory firm - (4/12/2021 Approved)

Texas

Registered Investment Advisory firm - (1/27/2022 Conditional Restricted)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2162 E. Williams Field Rd Suite 111, Gilbert, AZ 85295

Mailing Address

Phone number

(480) 680-7975

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	182
AUM (Assets Under Management)	$ 66,760,000

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.

Similar Advisors

Alicia Larson

OSAIC WEALTH, INC.

IAR

Berkley, MA

Andreas Duemichen

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

NEW YORK, NY

Gustavo Delgado Alicea

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

IAR

Brandon, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Houston J. Friend

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Houston James Friend's CRS (Customer Relationship Summary).

Certified licenses

Experience

PERSONAL CAPITAL ADVISORS CORPORATION

EDELMAN FINANCIAL ENGINES

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/27/2018

Series 63

Date: 11/19/2015

SIE

Date: 9/24/2018

Series 7

Date: 10/22/2015

Current Firm

REDEEM WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

REDEEM WEALTH MANAGEMENT

TRUST BUT VERIFY

Similar Advisors