Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Seth? Claim Your ProfileSeth Gusow is a financial advisor with J.P. Morgan Securities LLC, specializing in providing financial advice and investment management services. Seth has been a registered professional in the financial services industry since 1997 and has held a wide range of roles at various firms. Seth is a licensed Investment Advisor Representative in both California and Texas. Seth’s expertise is in developing customized financial plans for both individuals and businesses.
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
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2
CA
05/01/2024 - Present
J.p. Morgan Securities LLC (Los Angeles CA)
CA
11/01/2011 - 11/02/2020
IMPERIAL CAPITAL, LLC (LOS ANGELES CA)
NY
05/21/2003 - 11/01/2011
FBN SECURITIES, INC. (NEW YORK NY)
FL
05/01/2003 - 05/14/2003
NATIONAL SECURITIES CORPORATION (BOCA RATON FL)
NY
03/30/2000 - 02/28/2002
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
06/23/1998 - 03/27/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
07/23/1997 - 07/02/1998
JOSEPHTHAL & CO., INC. (NEW YORK NY)
NY
06/04/1997 - 08/05/1997
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 05/01/2024
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/13/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/15/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/10/2004
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/02/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 06/03/1997
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX 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
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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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