Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ashish? Claim Your ProfileAshish Seth is a financial professional with over 13 years of experience in the financial services industry. Ashish is currently registered with Finalis Securities LLC, and has previously held positions at Arlington Capital Services, LLC, BMO Capital Markets Corp., RBC Capital Markets, LLC, RBS Securities Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Ashish holds a Series 7, Series 63 and Series 79TO license.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
NY
03/14/2023 - Present
Finalis Securities LLC (New York NY)
IL
03/15/2021 - 02/21/2023
ARLINGTON CAPITAL SERVICES, LLC (Chicago IL)
IL
02/03/2016 - 12/17/2020
BMO CAPITAL MARKETS CORP. (CHICAGO IL)
NY
01/27/2014 - 12/22/2015
RBC CAPITAL MARKETS, LLC (NEW YORK NY)
CT
04/30/2010 - 01/14/2014
RBS SECURITIES INC. (STAMFORD CT)
NY
12/15/2005 - 11/01/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 05/21/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/28/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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