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Seth David Rubin

Keefe, Bruyette & Woods, Inc.

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About Seth David Rubin

Seth David Rubin is a financial advisor with over 25 years of experience in the industry. Seth is currently registered with Keefe, Bruyette & Woods, Inc. and Stifel, Nicolaus & Company, Inc. Seth's previous experience includes positions at Thomas Weisel Partners LLC, Wells Fargo Securities, LLC, Deutsche Bank Securities Inc., BT Alex. Brown Incorporated and SPP Hambro & Co., Incorporated. Seth is licensed to offer securities in all states, and has successfully completed several industry exams including the Series 7, Series 24, Series 63, Series 79, and SIE exams.

Firm Information

Seth Rubin is currently registered with Keefe, Bruyette & Woods, Inc.. Keefe, Bruyette & Woods, Inc. is a Corporation, formed in 1962, that is registered in all 50 states and the District of Columbia, plus Puerto Rico. The firm has been approved by the SEC and has been involved in 17 Regulatory Events and 1 Bond disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

88

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Seth Rubin’s Registration & Firm History

CA

05/02/2024 - Present

Keefe, Bruyette & Woods, Inc. (SAN FRANCISCO CA)

CA

04/13/2005 - 07/20/2010

THOMAS WEISEL PARTNERS LLC (SAN FRANCISCO CA)

CA

04/30/2003 - 04/04/2005

WELLS FARGO SECURITIES, LLC (SAN FRANCISCO CA)

NY

06/07/1999 - 02/14/2003

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

MD

07/01/1998 - 06/07/1999

BT ALEX. BROWN INCORPORATED (BALTIMORE MD)

NY

09/11/1996 - 04/15/1998

DEUTSCHE MORGAN GRENFELL INC. (NEW YORK NY)

NY

05/28/1996 - 08/07/1996

SPP HAMBRO & CO., INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/23/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/23/2013

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/24/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Seth David Rubin.
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