linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Seth Ira Braunstein

Dowling & Partners Securities LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Seth? Claim Your Profile

About Seth Ira Braunstein

Seth Ira Braunstein is a financial advisor who has been working in the industry since 1996. He is currently registered with Dowling & Partners Securities LLC. Seth has passed several industry exams including the Series 7, Series 24, and Series 63 exams. Previously, Seth Ira Braunstein was registered with several other firms, including Ehrenkrantz King Nussbaum, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Seth Ira Braunstein holds an active registration in Connecticut.

Firm Information

Seth Braunstein is currently registered with Dowling & Partners Securities LLC. Dowling & Partners Securities LLC is a Limited Liability Company formed on July 1, 1994. The firm is registered in eight states: California, Connecticut, Florida, Illinois, Massachusetts, New Hampshire, New York, and Ohio. It also has an approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

26

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Seth Braunstein’s Registration & Firm History

CT

03/22/2004 - Present

Dowling & Partners Securities LLC (NORWALK CT)

NY

02/20/2003 - 07/18/2003

EHRENKRANTZ KING NUSSBAUM, INC. (MELVILLE NY)

NY

03/06/2002 - 10/15/2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

09/28/1998 - 10/11/2002

HERZOG, HEINE, GEDULD, LLC (NEW YORK NY)

NJ

12/18/1996 - 09/11/1998

PERSHING TRADING COMPANY, L.P. (JERSEY CITY NJ)

NA

04/24/1996 - 12/09/1996

MARLEAU LEMIRE (U.S.A.), INC. (TORONTO ONTARIO M5H 1J9 )

NY

04/06/1995 - 03/20/1996

D. H. BLAIR & CO., INC. (NEW YORK NY)

NY

01/31/1995 - 04/07/1995

INVESTORS DEPOT, INC. (UTICA NY)

Not sure if Seth Ira Braunstein is right for you?

Licenses & Designations

BC

Issued 02/03/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/25/1996

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/24/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 01/30/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Seth Ira Braunstein.
Not sure if Seth Ira Braunstein is right for you?