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SF

Samuel J. Friday

NASDAQ CAPITAL MARKETS ADVISORY LLC
Pasadena, CA 91101
Some features on this profile are disabled
CRD#: 6823027
SF

Professional summary

Samuel John Friday, who also goes by Sam Friday, is a registered financial professional currently at NASDAQ CAPITAL MARKETS ADVISORY LLC located in Pasadena, California.

Samuel is registered as a RR (Registered Representative) and started their career in finance in 2017. Samuel has worked at 5 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sam Friday

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 Samuel John Friday'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

July 24, 2024 - Present

NASDAQ CAPITAL MARKETS ADVISORY LLC

Office #1: 790 E. Colorado Blvd Suite 505, Pasadena, CA 91101
BD
CRD#: 104295
Pasadena, CA
Past

July 25, 2024 - December 31, 2025

DORSEY, WRIGHT & ASSOCIATES, LLC

RIA
CRD#: 104925
Washington, DC
Past

February 2, 2023 - July 17, 2024

MERIDIAN INVESTMENTS, INC.

BD
CRD#: 13225
BETHESDA, MD
Past

February 12, 2020 - January 23, 2023

CAPITAL CLIENT GROUP, INC.

BD
CRD#: 6247
SAN ANTONIO, TX
Past

January 14, 2020 - January 23, 2023

CAPITAL CLIENT GROUP, INC.

RIA
CRD#: 6247
SAN ANTONIO, TX
Past

September 27, 2017 - December 13, 2019

CANTOR FITZGERALD INVESTMENT ADVISORS

RIA
CRD#: 159296
LA JOLLA, CA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(7/24/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/27/2020
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/27/2017
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/2/2020
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 2/12/2020
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/28/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

NC
NASDAQ CAPITAL MARKETS ADVISORY LLC
ISLAND EXECUTION SERVICES, LLC | OUTBOUND SECURITIES, LLC | NASDAQ OPTIONS SERVICES, LLC | NASDAQ CAPITAL MARKETS ADVISORY LLC

CRD#: 104295 / SEC#: , 8-52750

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

Main Address
151 West 42nd Street, New York, NY 10036
Mailing Address
151 West 42nd Street, New York, NY 10036
Phone number
(212) 401-8700
Established
Delaware since 02/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
NASDAQ CORPORATE SOLUTIONS, LLCSOLE MEMBER
CRANE, LINDAPRINCIPAL FINANCIAL OFFICER/ PRINCIPAL OPERATIONS OFFICER4374198
HINTON-MILLER, BRENDACHIEF COMPLIANCE OFFICER3208241
WASSERMAN, SEAN ELLIOTCO CHIEF EXECUTIVE OFFICER7303324

Disclosures

Regulatory Event4

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

NASDAQ CAPITAL MARKETS ADVISORY LLC

CRD#: 104295Pasadena, CA 91101

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