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Craig David Friedman

UBS Securities LLC

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About Craig David Friedman

Craig David Friedman is a financial advisor who has been in the industry since 2018. Craig is currently registered with UBS Securities LLC, based out of their Los Angeles office, and previously worked with Asante Capital Group Advisors LLC in New York. Craig holds the Series 7, Series 63, Series 79TO and SIE licenses. Craig has over 25 approved SRO registrations, 1 approved FINRA registration, and over 50 approved state registrations.

Firm Information

Craig Friedman is currently registered with UBS Securities LLC. UBS Securities LLC is a Limited Liability Company formed on June 29, 1998. The firm is registered with the SEC and in all 50 states, as well as in Puerto Rico. UBS Securities LLC has been involved in 307 regulatory events, 5 civil events, and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

507

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Craig Friedman’s Registration & Firm History

CA

07/20/2022 - Present

UBS Securities LLC (Los Angeles CA)

NY

02/12/2018 - 04/25/2022

ASANTE CAPITAL GROUP ADVISORS LLC (New York NY)

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Licenses & Designations

BC

Issued 12/21/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/17/2022

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/12/2018

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Craig David Friedman.
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