Career
David Friedman has been General Counsel and Chief Compliance Officer of Paloma Partners Management since November 2024. David Friedman is a control person of the firm and directly owns under 5% of it.
Paloma Partners Management Company is a Greenwich, CT firm with $30.3B under management, 3 clients and 30 advisers across 4 offices, as of its May 2026 filing.
No adviser firm registrations are on David Friedman’s record.
Credentials and registrations
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 19 August 2019 |
| Series 79 | Investment Banking Registered Representative Examination | 2 August 2010 |
| Series 53 | Municipal Securities Principal Examination | 10 July 2009 |
| Series 63 | Uniform Securities Agent State Law Examination | 13 April 2009 |
| Series 7 | General Securities Representative Examination | 30 March 2009 |
- Name
- General Securities Principal Examination
- Name
- Investment Banking Registered Representative Examination
- Name
- Municipal Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- David Eliot Friedman
- CRD
- 3252066
- Firm bio
- paloma.com
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does David Friedman work?
David Friedman has been General Counsel and Chief Compliance Officer of Paloma Partners Management Company since November 2024, and is a control person of the firm.
Does David Friedman have a current investment-adviser registration?
David Friedman has no current investment-adviser or broker registration.
What exams has David Friedman passed?
David Friedman has passed 5 licensing exams: the Series 7, Series 63, Series 53, Series 79 and Series 24. The earliest, the Series 7, was passed in March 2009.