Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Seth? Claim Your ProfileSeth Fineman is a financial advisor registered with MMA Securities LLC. Seth has been in the industry since 1999. Seth is also registered as an investment advisor representative in Minnesota. Before joining MMA Securities LLC, Seth worked at Principal Securities, Inc., Transamerica Investors Securities Corporation, ICMA-RC Services, LLC, Fidelity Brokerage Services LLC, E*TRADE SECURITIES LLC and TD WATERHOUSE INVESTOR SERVICES, INC. Seth holds Series 63, Series 65, Series 7 and Series 24 licenses.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Advisory services to retirement plan participants
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
Based on assets under advisement or per capita
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2
MN
02/23/2021 - Present
MMA Securities LLC (Minneapolis MN)
MN
05/30/2019 - 01/21/2021
PRINCIPAL SECURITIES, INC. (MINNETONKA MN)
NY
03/08/2016 - 07/02/2018
TRANSAMERICA INVESTORS SECURITIES CORPORATION (HARRISON NY)
MI
08/08/2014 - 01/26/2016
ICMA-RC SERVICES, LLC (ANNE ARBOR MI)
MN
06/07/2004 - 09/06/2013
FIDELITY BROKERAGE SERVICES LLC (EDINA MN)
NJ
04/04/2002 - 06/11/2003
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
NE
01/16/1996 - 03/20/2001
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
MI
07/26/1995 - 12/04/1995
MULTI-BANK SECURITIES, INC. (SOUTHFIELD MI)
IA
Issued 09/19/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/20/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/13/2002
Series 24 - General Securities Principal Examination
BC
Issued 11/18/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 07/02/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/26/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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