Andrew Friedman is a CFP-designated registered investment advisor, based in New York, NY, with 43 years of industry experience.
Location
211 East 43rd St., Suite 2004, New York, NY, 10017
Get directionsHistory
Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2005Denied
Customer Dispute
November 1995Settled
Customer Dispute
September 1992Award / Judgment
Employment Separation After Allegations
July 1992Customer Dispute
May 1992Award / Judgment
Employment History
Current Registrations
Cambridge Investment Research, INC.
November 2024 - Present · 1 yr 6 mos
Cambridge Investment Research, INC.Broker
November 2024 - Present · 1 yr 6 mos
Ajf Capital Management, INC.
May 2017 - Present · 9 yrs
Previous Registrations
Osaic Wealth, INC.Broker
October 2024 - November 2024 · 1 mo
American Portfolios Financial Services, INC.Broker
November 2008 - October 2024 · 15 yrs 11 mos
Saxony Capital Management, LLC
September 2004 - December 2004 · 3 mos
Saxony Securities, INC.Broker
July 2004 - November 2008 · 4 yrs 4 mos
Syndicated Capital, INC.Broker
June 2000 - July 2004 · 4 yrs 1 mo
Prime Capital Services, INC.Broker
August 1992 - June 2000 · 7 yrs 10 mos
Titan/value Equities Group, INC.Broker
May 1990 - July 1992 · 2 yrs 2 mos
Jonathan Alan & CO., INC.Broker
September 1988 - May 1990 · 1 yr 8 mos
First Investors CorporationBroker
April 1982 - September 1988 · 6 yrs 5 mos
State Registrations30 states
AZCACOCTDCFLGAILKSLAMAMDMNMOMTNCNJNMNYOHORPARISCTNTXVAVTWAWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.