Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Seth? Claim Your ProfileSeth Lenard Romero is a financial professional with over 29 years of experience in the securities industry. Seth is currently registered with TP Icap Global Markets Americas LLC, and previously worked at ICAP Securities USA LLC, GARBAN LLC, and HSBC Securities, Inc. Seth holds licenses including Series 3, 7, 24, 63, and SIE. Seth is registered in New Jersey, New York, and Ohio.
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.
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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2
NY
11/28/2008 - Present
TP Icap Global Markets Americas LLC (New York NY)
NY
02/15/2002 - 06/30/2023
ICAP SECURITIES USA LLC (NEW YORK NY)
NY
05/04/1998 - 01/25/2002
GARBAN LLC (NEW YORK NY)
NY
03/22/1994 - 02/27/1998
HSBC SECURITIES, INC. (NEW YORK CITY NY)
BC
Issued 03/28/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/24/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/12/1999
Series 3 - National Commodity Futures Examination
BC
Issued 03/21/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
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