Steven M. Friedman
About Steven M. Friedman
Steven M. Friedman is an Associate at FINRA, where he has worked since 2022 in Paramus, New Jersey. He has extensive experience in compliance and risk management, having held various leadership roles in the financial services industry.
Work at FINRA
Steven M. Friedman has been employed at the Financial Industry Regulatory Authority (FINRA) as an Associate since 2022. He works in Paramus, New Jersey, where he is involved in various regulatory and compliance activities. His role at FINRA builds on his extensive background in surveillance, compliance, and risk management.
Previous Employment History
Before joining FINRA, Steven M. Friedman held several positions in the financial services industry. He served as the Manager of Operations at Wells Fargo Advisors from 2007 to 2011 in the New York City Metropolitan Area. He also worked as an Insurance Producer while self-employed in 2021 for 11 months in Morristown, NJ. His experience includes serving as Associate Director of Compliance/Supervisory Principal OSJ at Northwestern Mutual from 2013 to 2016, and as a Compliance Analyst at Prudential Financial from 2011 to 2012.
Education and Expertise
Steven M. Friedman studied at Brooklyn College, where he earned a Bachelor of Arts in Economics from 1987 to 1991. He furthered his education at Fairleigh Dickinson University, obtaining a Financial Planning Certificate in Finance from 2007 to 2008. His academic background supports his expertise in finance, compliance, and risk management within the financial services sector.
Leadership Roles and Compliance Experience
Throughout his career, Steven M. Friedman has served in leadership roles focused on surveillance, compliance, and risk management. His experience includes significant positions at various financial institutions, where he contributed to enhancing compliance frameworks and risk assessment processes. His role as a former member of the New York Stock Exchange (NYSE) further underscores his involvement in the financial regulatory landscape.
Career at LPL Financial
From 2017 to 2020, Steven M. Friedman worked at LPL Financial as a Market Manager, focusing on supervision and risk management. His tenure at LPL Financial in Paramus, New Jersey, allowed him to apply his compliance expertise while managing market operations and ensuring adherence to regulatory standards.