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Detailed Report
Daniel Aaron Friedman
CRD#: 3022786
IA
Investment Adviser
B
Broker
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 Brookhaven, GA
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 Brookhaven, GA
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1998 - 1998 (<1 year)2 FIRMS1999 - 1999 (<1 year)2 FIRMS2010 - 2015 (5 years)2 FIRMS2016 - 2017 (1 year)2 FIRMS2017 - 2022 (4 years)2 FIRMS2022 - Present (2 years)2 FIRMS2024 - Present (1 year)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2007 - 2010 (3 years)BE*TRADE SECURITIES LLC (CRD# 29106)2007 - 2007 (<1 year)BSPENCER-WINSTON SECURITIES COR... (CRD# 8300)2004 - 2007 (2 years)BBISHOP, ROSEN & CO., INC. (CRD# 1248)2003 - 2003 (<1 year)BCITICORP INVESTMENT SERVICES (CRD# 23988)2000 - 2001 (1 year)BCIBC WORLD MARKETS CORP. (CRD# 630)1999 - 2000 (<1 year)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2009 - 2010 (1 year)
License(s)

State Registrations

B
Florida 6/28/2022
B
Georgia 9/1/2023
IA
Florida 6/29/2022
IA
Georgia 9/5/2023

SRO Registrations

B
 FINRA
B
 NYSE American 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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018)
Brookhaven, GA
Registered with this firm since 2/12/2024
B
RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694)
Brookhaven, GA
Registered with this firm since 2/6/2024
IA
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
Snellville, GA
Registered with this firm since 6/29/2022
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
Snellville, GA
Registered with this firm since 6/28/2022
Previous Registration(s)
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IA
 11/22/2017 - 06/13/2022 PRINCIPAL SECURITIES, INC. (CRD#:1137) Miramar, FL
B
 11/10/2017 - 06/13/2022 PRINCIPAL SECURITIES, INC. (CRD#:1137) Miramar, FL
IA
 01/06/2016 - 08/15/2017 CAPITAL ONE ADVISORS, LLC (CRD#:136865) Wilmington, DE
B
 01/04/2016 - 08/15/2017 CAPITAL ONE INVESTING, LLC (CRD#:45744) WILMINGTON, DE
IA
 09/15/2010 - 11/24/2015 MORGAN STANLEY (CRD#:149777) AVENTURA, FL
B
 09/03/2010 - 11/24/2015 MORGAN STANLEY (CRD#:149777) AVENTURA, FL
IA
 08/14/2009 - 09/07/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) NEW YORK, NY
B
 04/02/2007 - 09/07/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) NEW YORK, NY
B
 01/19/2007 - 03/05/2007 E*TRADE SECURITIES LLC (CRD#:29106) JERSEY CITY, NJ
B
 09/15/2004 - 01/05/2007 SPENCER-WINSTON SECURITIES CORPORATION (CRD#:8300) NEW YORK, NY
B
 07/24/2003 - 08/11/2003 BISHOP, ROSEN & CO., INC. (CRD#:1248) NEW YORK, NY
B
 08/10/2000 - 10/03/2001 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
B
 11/22/1999 - 08/01/2000 CIBC WORLD MARKETS CORP. (CRD#:630) NEW YORK, NY
B
 07/21/1999 - 11/16/1999 COLEMAN & COMPANY SECURITIES, INC. (CRD#:1486) NEW YORK, NY
B
 03/12/1999 - 07/27/1999 DRAKE & COMPANY, INC. (CRD#:16227) NEW YORK, NY
B
 06/24/1998 - 10/30/1998 PARAGON CAPITAL MARKETS (CRD#:18555)
FINRA expelled the firm on 02/26/2004
EAST HANOVER, NJ
B
 03/24/1998 - 06/01/1998 HORNBLOWER & WEEKS, INC. (CRD#:4683)
FINRA expelled the firm on 05/20/2003
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.