Robert M. Friedman

OSAIC WEALTH

Coral Springs, FL 33067

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CRD#: 807233

Professional summary

Robert Morris Friedman is a registered financial advisor currently at OSAIC WEALTH, INC. located in Coral Springs, Florida.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Robert has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 62, Series 1, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1) URBAN LEAGUE POSITION: Board Member - NATURE: Non-Profit - Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2000 ADDRESS: 1700 N Austrailan Ave, West Palm Beach FL 33407 DESCRIPTION: Member of the Board Attend meetings Vote on decisions regarding organization 2) RMF FINANCIAL POSITION: President NATURE: Fixed life product sales INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 03/02/2000 ADDRESS: 5421 University Dr, Suite 101, Coral Springs FL 33067, United States DESCRIPTION: General agent for fixed life products only 3) PALM BEACH COUNTY SHERRIF'S OFFICE; POSITION: Volunteer NATURE: Non Profit INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 01/03/2017; ADDRESS: 2300 Jog Rd, West Palm FL 33411, United States; DESCRIPTION: Volunteers - assist detectives in monitoring sex offenders 4) RMFFINANCIAL POSITION: President NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/15/2020 ADDRESS: 5421 University Drive, Suite 101, Coral Springs FL 33067, United States DESCRIPTION: Notary - Used once 5) FIRST FINANCIAL RESORUCES POSITION: Member of IMO & LLC NATURE: Fixed Life Insurance only INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 12/01/2014 ADDRESS: 5421 University Dr, Suite 101, Coral Springs FL 33067, United States DESCRIPTION: Sell fixed Life Insurance 6) SIMPLICITY GROUP POSITION: Member NATURE: Fixed Life Insurance only INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 12/01/2014 ADDRESS: 5421 University Drive, Coral Springs FL 33067, United States DESCRIPTION: Sell fixed Life Insurance

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Morris Friedman's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Robert Morris 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

September 17, 2004 - Present

OSAIC WEALTH, INC.

Office #1: 5421 University Drive Suite 101, Coral Springs, FL 33067

RIA

CRD#: 23131

Coral Springs, FL

Current

March 24, 2004 - Present

OSAIC WEALTH, INC.

Office #1: 5421 University Drive Suite 101, Coral Springs, FL 33067

RIA

CRD#: 23131

Coral Springs, FL

Past

March 11, 1999 - December 18, 2003

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

WEST PALM BEACH, FL

Past

March 8, 1999 - December 18, 2003

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

October 20, 1980 - February 22, 1999

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

May 1, 1975 - February 22, 1999

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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.

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

Arizona
(3/23/2020)

California
(2/23/2011)

Colorado
(10/9/2023)

Connecticut
(3/11/2005)

Florida
(6/4/2004)

IAR

Florida
(9/17/2004)

Georgia
(11/15/2005)

Illinois
(2/23/2005)

Maryland
(6/22/2006)

Montana
(4/5/2018)

New Jersey
(4/25/2006)

New York
(4/6/2005)

North Carolina
(3/30/2004)

IAR

North Carolina
(12/5/2023)

Ohio
(3/12/2019)

Pennsylvania
(9/17/2004)

Puerto Rico
(2/5/2025)

South Carolina
(3/30/2005)

Texas
(10/16/2018)

IAR

Texas
(9/5/2024)

Virginia
(8/19/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/7/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/27/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/30/1999

General Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 5/16/1991

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 1

Date: 4/21/1975

Registered Representative Examination

Principal/Supervisory Exam

Series 51

Date: 8/5/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/1/1990

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Robert M. Friedman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Morris Friedman's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Robert Morris Friedman's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/7/1999

Series 63

Date: 3/27/1984

SIE

Date: 10/1/2018

Series 7

Date: 9/30/1999

Series 62

Date: 5/16/1991

Series 1

Date: 4/21/1975

Series 51

Date: 8/5/2003

Series 24

Date: 3/1/1990

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

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