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Steven Friedman

Steven Friedman

Director of Compliance

Steven started his career on Wall Street where he worked on the floor of the NYSE as a specialist clerk and later, a Specialist trading in roughly 600 equities. After 14 years in Manhattan, Steven took a position as a Financial Advisor at Wells Fargo Advisors in NJ and spent the next 5 years working his way up from Advisor to Compliance Liaison, leaving as International Operations/Compliance Manager. During his time at Wells Fargo Advisors, he studied and passed both the FINRA exam 9&10 and became a supervisory principal.

He continued his career ambitions and took a position with Prudential as a Compliance Analyst, working as Brokerage Liaison to monitor employee trading, the migration of compliance systems to a third party vendor, and working on a team implementing the various components to the Large Trader Rule, reporting to the SEC nearly all funds and asset management companies held at Prudential.

Moving forward, Steven was recruited to work for Northwestern Mutual Insurance/ Northwestern Asset Management as Associate Director of Compliance at a Network agency, overseeing one hundred and forty advisors from 5 branches, private resident locations, and the OSJ.

After taking a leave of absence for 1 year to spend time with his family, Steven began his search in the compliance field and took a position at INC Advisors, reporting to Richard Dragotta, Principal Owner of the 6th largest network office within LPL.

Steven holds a BA in Economics from Brooklyn College, FINRA 7, 9, 10, 63, and 65 registrations with LPL Financial. In addition, Steven is a licensed Insurance producer.  He also completed the course curriculum and modules at FDU for the CFP® certification.

Steven lives in Springfield, NJ with his wife and 2 children and serves on the Springfield Auxiliary Police Department, His interests are in baseball, golf, and guitar. He is also a former Board of Education elected member, 3-year term, and served on the Zoning Board of Adjustment for 3 years.