Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Romy? Claim Your ProfileRomy Seth is a registered representative with Finalis Securities LLC. Romy has been in the securities industry since 2015 and is registered in 11 states. Romy has passed the Series 63, Series 79, and SIE exams. Romy was previously employed by Ashland Securities, LLC and Ferghana Securities, Inc.
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.
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NY
06/06/2022 - Present
Finalis Securities LLC (New York NY)
FL
03/29/2019 - 06/07/2022
ASHLAND SECURITIES, LLC (MIAMI FL)
NY
03/19/2015 - 02/20/2019
FERGHANA SECURITIES, INC. (NEW YORK NY)
BC
Issued 04/24/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/19/2015
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
F
FINRA
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