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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Seth? Claim Your ProfileSeth Adam Rutman is a financial advisor currently registered with UBS Financial Services Inc. Seth has been in the financial services industry since February 1998. Seth is licensed to provide advisory services in multiple states, including New York and Texas.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NY
04/13/2007 - Present
UBS Financial Services Inc. (New York NY)
NY
08/31/1998 - 07/07/2000
GLOBAL CAPITAL MARKETS, LLC (MELVILLE NY)
NE
08/26/1997 - 03/02/1998
DATEK SECURITIES CORP. (OMAHA NE)
IA
Issued 03/24/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/02/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/26/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/08/1999
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/23/1999
Series 4 - Registered Options Principal Examination
BC
Issued 12/15/1997
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/15/2000
Series 3 - National Commodity Futures Examination
BC
Issued 05/03/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/25/1997
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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