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Michael Joshua Friedman

Rockefeller Financial LLC

Florham Park, NJ

Newtown, PA

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Current Employers
Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2024-10-18
TX RA APPROVED_RES 2024-10-18
  • PA RA
    APPROVED
    Since 2024-10-18
  • TX RA
    APPROVED_RES
    Since 2024-10-18

Branch Locations

180 Park Ave Suite 203, Florham Park, NJ 07932 • United States

4 Caufield Place Suite 101, Newtown, PA 18940 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Llc Mt. Laurel NJ 06/2016 02/2020
Morgan Stanley Private Bank, N.A. Mt. Laurel NJ 06/2016 02/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Philadelphia PA 03/2020 10/2024
Rockefeller Financial Llc Newtown PA 10/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-04-06
S63 Uniform Securities Agent State Law Examination 2011-07-01
  • S65 Uniform Investment Adviser Law Examination
    2015-04-06
  • S63 Uniform Securities Agent State Law Examination
    2011-07-01
Other Names
  • Michael J Friedman
  • Michael Friedman

View on SEC IAPD

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FLORHAM PARK, NJ
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