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Detailed Report
MARK ALLEN FRIEDMAN
MARK A FRIEDMAN
CRD#: 2881122
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 345 CALIFORNIA STREET
SAN FRANCISCO, CA 94104-2642
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2007 (6 years)2 FIRMS2007 - 2017 (10 years)2 FIRMS2017 - 2023 (5 years)2 FIRMS2023 - Present (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1997 - 2000 (3 years)
Disclosure(s)
View By:
3/19/2010
Customer Dispute
Settled
3/14/2000
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 4/27/2023
B
New Jersey 4/27/2023
B
California 4/27/2023
B
New Mexico 4/27/2023
IA
California 4/28/2023
B
New York 4/27/2023
B
Colorado 4/27/2023
B
North Dakota 4/27/2023
B
Connecticut 4/27/2023
B
Ohio 4/27/2023
B
Delaware 4/27/2023
B
Oregon 4/27/2023
B
District of Columbia 4/27/2023
B
Pennsylvania 4/27/2023
B
Florida 4/27/2023
B
Rhode Island 4/27/2023
B
Hawaii 5/4/2023
B
South Carolina 4/27/2023
B
Idaho 4/27/2023
B
South Dakota 6/21/2024
B
Illinois 4/27/2023
B
Texas 4/27/2023
B
Indiana 5/1/2023
IA
Texas 4/28/2023
B
Massachusetts 4/27/2023
B
Utah 4/27/2023
B
Michigan 4/27/2023
B
Virginia 4/27/2023
B
Montana 5/16/2023
B
Washington 4/27/2023
B
Nevada 4/27/2023
B
Wisconsin 4/27/2023
B
New Hampshire 4/27/2023
B
Wyoming 4/27/2023

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX PEARL, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE National, Inc.
B
 NYSE Texas, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RBC CAPITAL MARKETS, LLC (CRD#:31194)
345 CALIFORNIA STREET, SAN FRANCISCO, CA 94104-2642
Kentfield, CA
Registered with this firm since 4/28/2023
B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
345 CALIFORNIA STREET, SAN FRANCISCO, CA 94104-2642
Kentfield, CA
Registered with this firm since 4/27/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/08/2017 - 05/19/2023 FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. (CRD#:108559) San Francisco, CA
B
 09/08/2017 - 05/19/2023 FIRST REPUBLIC SECURITIES COMPANY, LLC (CRD#:105108) SAN FRANCISCO, CA
IA
 06/15/2007 - 09/29/2017 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN FRANCISCO, CA
B
 06/15/2007 - 09/29/2017 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN FRANCISCO, CA
IA
 10/10/2000 - 06/29/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN FRANCISCO, CA
B
 08/08/2000 - 06/29/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SAN FRANCISCO, CA
B
 06/19/1997 - 08/04/2000 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.
IA
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
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.