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Raj K Seth

Rosenblatt Securities Inc.

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About Raj K Seth

Raj K Seth is a registered representative with Rosenblatt Securities Inc., with a focus on Investment Banking. Raj has been in the industry since 2009 and is licensed to sell securities in various states.

Firm Information

Raj Seth is currently registered with Rosenblatt Securities Inc.. Rosenblatt Securities Inc. is a corporation formed on August 29, 1979, with an approved status. They are registered with the Securities and Exchange Commission and in 17 states, including California, Colorado, Connecticut, Florida, Illinois, Maryland, Massachusetts, Minnesota, Missouri, New Jersey, New York, Ohio, Pennsylvania, South Carolina, Texas, Virginia, and Washington. They have reported 6 regulatory events.

Not reported

Assets Under Management

Not reported

Total Clients

32

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Raj Seth’s Registration & Firm History

NY

06/01/2023 - Present

Rosenblatt Securities Inc. (NEW YORK NY)

MA

01/15/1999 - 11/05/2012

COWEN AND COMPANY (BOSTON MA)

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Licenses & Designations

BC

Issued 04/09/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/31/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 02/23/2005

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 02/09/2005

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 01/14/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Raj K Seth.
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