Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Seth? Claim Your ProfileSeth William Heaton is a financial advisor with over 28 years of experience in the industry. Seth currently works at Citigroup Global Markets Inc., where he has been employed since October 28, 2015. Seth has also previously held positions at Deutsche Bank Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Seth is registered to offer securities products and services in all 50 states, as well as Puerto Rico and the Virgin Islands.
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.
Asset allocation advice
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.
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NY
10/28/2015 - Present
Citigroup Global Markets Inc. (NEW YORK NY)
NY
05/19/2009 - 08/18/2015
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
09/26/1994 - 05/27/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 07/12/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/20/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/12/1994
Series 7 - General Securities Representative Examination
Active
Inactive
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Cboe BYX Exchange, Inc.
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Cboe BZX Exchange, Inc.
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Cboe EDGA Exchange, Inc.
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Cboe EDGX Exchange, Inc.
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Cboe Exchange, Inc.
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FINRA
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Investors' Exchange LLC
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NYSE American LLC
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NYSE Arca, Inc.
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NYSE Chicago, Inc.
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NYSE National, Inc.
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Nasdaq BX, Inc.
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Nasdaq ISE, LLC
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Nasdaq PHLX LLC
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Nasdaq Stock Market
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New York Stock Exchange
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