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Seth Sigman

Barclays Capital Inc.

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About Seth Sigman

Seth Sigman is a financial advisor with Barclays Capital Inc. located in New York, NY. Seth has over 16 years of experience in the financial services industry. Seth has passed the Series 63, Series 7, Series 86 and Series 87 exams. Prior to joining Barclays Capital Inc., Seth was employed at Guggenheim Securities, LLC and Credit Suisse Securities (USA) LLC. Seth is registered to provide financial advice in all 50 states and the District of Columbia.

Firm Information

Seth Sigman is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

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 Sigman’s Registration & Firm History

NY

11/21/2022 - Present

Barclays Capital Inc. (NEW YORK NY)

NY

07/19/2021 - 11/21/2022

GUGGENHEIM SECURITIES, LLC (NEW YORK NY)

NY

07/18/2006 - 08/12/2021

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/12/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/28/2006

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 11/22/2006

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 07/17/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There are no public disclosures for Seth Sigman.
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