Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Seth? Claim Your ProfileSeth Allen Wernick is a financial advisor with over 20 years of experience in the industry. Seth is currently registered with Raymond James & Associates, Inc. and is licensed in multiple states, including Texas, Maryland and District of Columbia. Prior to joining Raymond James & Associates, Inc. Seth was employed by DEUTSCHE BANK SECURITIES INC. and CITIGROUP GLOBAL MARKETS INC. Seth is a Series 7, Series 63, and Series 65 licensed professional and has a broad range of experience in providing financial advice to individuals, corporations, and institutions. Seth is dedicated to helping clients achieve their financial goals.
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.
Please see note in schedule d - miscellaneous
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.
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2
DC
06/22/2017 - Present
Raymond James & Associates, Inc. (Washington DC)
DC
12/10/2007 - 09/06/2016
DEUTSCHE BANK SECURITIES INC. (WASHINGTON DC)
DC
10/14/2002 - 12/13/2007
CITIGROUP GLOBAL MARKETS INC. (WASHINGTON DC)
IA
Issued 04/12/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/30/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/11/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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