Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Friedman is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc., who has been in the industry since 2009. Alan is registered in 53 states and the District of Columbia, and has been working with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2019. Previously, Alan Friedman worked with Caerus Investors LLC from 2010 to 2019.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
01/11/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (STATEN ISLAND NY)
NY
05/16/1994 - 06/27/2002
NDB CAPITAL MARKETS, LP (NEW YORK NY)
NE
01/12/1994 - 05/20/1994
NATIONAL DISCOUNT BROKERS (OMAHA NE)
NY
01/06/1994 - 01/13/1994
SHERWOOD SECURITIES CORP. (NEW YORK NY)
NY
08/28/1992 - 01/05/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
12/23/1991 - 05/21/1992
STRATTON OAKMONT INC. (LAKE SUCCESS NY)
BOTH
Issued 01/22/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/27/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/11/2019
Series 7TO - General Securities Representative Examination
BC
Issued 11/08/2019
SIE - Securities Industry Essentials Examination
BC
Issued 06/02/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/20/1991
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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