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SF

Sam H. Friedman

M.D. SASS SECURITIES, L.L.C.
New York, NY 10036
Some features on this profile are disabled
CRD#: 6716595
SF

Professional summary

Sam Harris Friedman is a registered financial professional currently at M.D. SASS SECURITIES, L.L.C. located in New York, New York.

Sam is registered as a RR (Registered Representative) and started their career in finance in 2016. Sam has worked at 1 firm and has passed the SIE, Series 99TO and Series 27 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) - BD

Click below to view Sam Harris Friedman's CRS (Customer Relationship Summary).
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

December 5, 2016 - Present

M.D. SASS SECURITIES, L.L.C.

Office #1: 55 West 46th Street, Suite 2801, New York, NY 10036Office #2: 55 West 46th Street Suite 2801, New York, NY 10036-2699
BD
CRD#: 139760
New York, NY

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
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 27
Date: 11/23/2016
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MS
M.D. SASS SECURITIES, L.L.C.
M.D. SASS SECURITIES, L.L.C.

CRD#: 139760 / SEC#: , 8-67246

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
55 West 46th Street Suite 2801, New York, NY 10036-2699
Mailing Address
55 West 46th Street Suite 2801, New York, NY 10036-2699
Phone number
(212) 843-8980
Established
Delaware since 09/23/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SASS, MARTIN DOUGLASMEMBER411144
FRIEDMAN, SAM HARRISFINANCIAL AND OPERATIONS PRINCIPAL6716595
LIU, BOBBY NMNGENERAL SECURITIES PRINCIPAL, CHIEF LEGAL AND RISK OFFICER, CHIEF COMPLIANCE OFFICER4771903

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

M.D. SASS SECURITIES, L.L.C.

CRD#: 139760New York, NY 10036

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