REDWOOD FINANCIAL PLANNING, LLC of SCOTCH PLAINS, NJ is an SEC-registered investment adviser (CRD 291250). Regulatory assets under management: $388.8M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Jared Scott Friedman | PRESIDENT/OWNER/CHIEF COMPLIANCE OFFICER | — |
| Michael Allen Mclane | CO-PRESIDENT/OWNER | — |
| FRIEDMAN HARLAN SCOTT | PRESIDENT/OWNER/CHIEF COMPLIANCE OFFICER | — |
| MCLANE MICHAEL ALLEN | CO-PRESIDENT/OWNER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2009-08-17 | regulatory | FINRA ALLEGED THAT JARED FRIEDMAN DID NOT PROVIDE WRITTEN NOTIFICATION OF AND OBTAIN PRIOR WRITTEN APPROVAL OF HIS EMPLOYING BROKER DEALER IN ENGAGING IN A PRIVATE SECURITIES TRANSACTION WITH A CUSOTMER. FRIEDMAN RECEIVED A REFERRAL FEE AS COMPENSATION FOR THE PRIVATE SECURITIES TRANSACTION. FRIEDMA… | Final | $16K |