Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Seth? Claim Your ProfileSeth Howard Schwartz is a financial professional with over 25 years of experience in the industry. Seth has been a registered representative and investment advisor representative in several states, including California, Wyoming, and Wisconsin. Seth is currently affiliated with KCD Financial, Inc., a registered investment advisor with offices in Green Bay, Wisconsin. Seth's primary focus is working with individuals and providing them with financial planning and investment advice. He also has experience working with high-net-worth individuals and providing investment advice to insurance companies. Previously, Seth has worked with a number of other firms, including Warner Beck Incorporated, Madison Avenue Securities, Inc., Independent Financial Group, LLC, and Spelman & Co., Inc., among others. Seth has obtained several professional licenses and certifications, including the Series 7, Series 63, Series 65, and Series 24 licenses. He is also a registered principal in both California and Wyoming.
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.
Helps you choose top advisors aligned with your financial goals.
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.
A percentage of the total value of assets under management is charged.
A portion of fees paid to 3rd party advisors
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2
WI
05/09/2017 - Present
KCD Financial, Inc. (GREEN BAY WI)
CA
12/10/2008 - 06/23/2010
WARNER BECK INCORPORATED (SAN DIEGO CA)
CA
11/15/2005 - 08/06/2008
MADISON AVENUE SECURITIES, INC. (SAN DIEGO CA)
CA
03/20/2003 - 06/10/2005
INDEPENDENT FINANCIAL GROUP, LLC (SAN DIEGO CA)
AZ
03/04/2002 - 02/24/2003
SPELMAN & CO., INC. (PHOENIX AZ)
AZ
03/02/2002 - 02/24/2003
SENTRA SECURITIES CORPORATION (PHOENIX AZ)
AZ
02/28/2002 - 02/24/2003
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
CT
08/01/2000 - 02/08/2002
WASHINGTON SQUARE SECURITIES, INC. (WINDSOR CT)
MN
05/10/1999 - 07/13/2000
JOHN G. KINNARD AND COMPANY, INCORPORATED (MINNEAPOLIS MN)
MN
01/26/1999 - 05/06/1999
ASCEND FINANCIAL SERVICES, INC. (ST. PAUL MN)
MN
01/26/1999 - 05/06/1999
C.R.I. SECURITIES, INC. (ST. PAUL MN)
VA
12/12/1996 - 09/14/1998
DMG SECURITIES, INC. (GREAT FALLS VA)
FL
07/16/1996 - 09/14/1998
JW CHARLES SECURITIES,INC. (BOCA RATON FL)
MO
05/17/1996 - 09/14/1998
CORPORATE SECURITIES GROUP, INC. (ST. LOUIS MO)
NY
07/21/1993 - 05/09/1994
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 03/12/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/24/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/18/1998
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/06/1997
Series 4 - Registered Options Principal Examination
BC
Issued 04/25/1997
Series 14 - Compliance Officer Examination
BC
Issued 12/09/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 11/11/1996
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/03/1993
Series 31 - Futures Managed Funds Examination
BC
Issued 07/20/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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