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Scott Andrew Friedman

Daiwa Capital Markets America Inc.

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About Scott Andrew Friedman

Scott Friedman is a financial professional with over 20 years of experience in the financial services industry. Scott has a Series 7, Series 55, Series 63, Series 57TO, Series 99TO, and SIE licenses and is currently registered in 10 states. Scott has worked with Daiwa Capital Markets America Inc. since 2009 and has also held positions at National Bank of Canada Financial Inc., Daiwa Securities America Inc., and Nomura Securities International, Inc.

Firm Information

Scott Friedman is currently registered with Daiwa Capital Markets America Inc.. Daiwa Capital Markets America Inc. is a corporation formed on December 8, 1964, and is registered in all 50 U.S. states, the District of Columbia, and Puerto Rico. The firm has been approved by the SEC and has a total of 53 registrations.

Not reported

Assets Under Management

Not reported

Total Clients

69

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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Scott Friedman’s Registration & Firm History

NY

01/30/2009 - Present

Daiwa Capital Markets America Inc. (NEW YORK NY)

NY

06/05/2006 - 10/20/2008

NATIONAL BANK OF CANADA FINANCIAL INC. (NEW YORK NY)

NY

06/03/2004 - 05/24/2006

DAIWA SECURITIES AMERICA INC. (NEW YORK NY)

NY

05/30/2001 - 05/26/2004

NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/23/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/28/2005

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 05/29/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Scott Andrew Friedman.
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