Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Seth? Claim Your ProfileSeth Goldman is a financial advisor with over 30 years of experience in the financial industry. Seth is registered with J.P. Morgan Securities LLC and holds a Series 7, 63, 31 and SIE licenses. Seth is also a registered investment advisor. Seth has previously worked for Citigroup Global Markets Inc., Citicorp Investment Services, Wachovia Securities, Inc., First Union Capital Markets Corp., Gruntal & Co., L.L.C., PaineWebber Incorporated, Gruntal & Co. Incorporated and Smith Barney, Harris Upham & Co., Incorporated. Seth is currently licensed in Alabama, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Illinois, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Missouri, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Vermont, Virginia, Washington, Wisconsin and Wyoming. Seth is a licensed investment advisor in New Jersey, New York and Texas. Seth is also a Registered Representative and an Investment Advisor Representative for J.P. Morgan Securities LLC.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NY
10/22/2018 - Present
J.p. Morgan Securities LLC (NEW YORK NY)
NY
05/29/2007 - 05/27/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
12/03/2002 - 05/29/2007
CITICORP INVESTMENT SERVICES (NEW YORK NY)
MO
10/01/1999 - 12/02/2002
WACHOVIA SECURITIES, INC. (ST. LOUIS MO)
NC
10/02/1998 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NY
11/01/1994 - 10/30/1998
GRUNTAL & CO., L.L.C. (NEW YORK NY)
NJ
08/14/1992 - 11/09/1994
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
04/09/1992 - 07/22/1992
GRUNTAL & CO. INCORPORATED (NEW YORK NY)
NY
06/11/1991 - 02/21/1992
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
IA
Issued 03/19/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/03/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/21/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 06/10/1991
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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