Individual Firm
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MICHAEL VINCENT FRIEDA
CRD#: 1079763
IA
B
PRIVATE CLIENT SERVICES, LLCCRD#: 120222 1120 Avenue of the Americas
Suite 4107
NEW YORK, NY 10036
Suite 4107
NEW YORK, NY 10036
View By:
11/20/2000
Customer Dispute
Denied
State Registrations
B
Arizona 3/8/2016
B
New Jersey 1/4/2010
B
California 1/4/2010
B
New York 1/4/2010
B
Connecticut 1/4/2010
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New York 2/1/2021
B
Florida 3/8/2010
B
North Carolina 2/4/2021
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Florida 12/26/2024
B
Washington 1/18/2013
B
Massachusetts 1/4/2010
B
Wisconsin 5/14/2014
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 4/12/2013
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Registered with this firm since 1/4/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/08/2003 - 12/31/2009 | NEW YORK, NY | |
B | 03/03/1993 - 08/15/2003 | NEWARK, DE | |
B | 02/12/1987 - 03/10/1993 | NEW YORK, NY | |
B | 02/12/1987 - 03/10/1993 | NEW YORK, NY | |
B | 01/02/1988 - 01/03/1988 | ||
B | 11/10/1983 - 01/02/1988 | ||
B | 01/05/1984 - 02/27/1987 | ||
B | 12/28/1982 - 08/08/1983 |
NEW YORK, NY
02/12/1987 - 03/10/1993
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.