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Sophia Seaton

Barclays Capital Inc.

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About Sophia Seaton

Sophia Seaton is an active advisor registered with FINRA and is associated with Barclays Capital Inc. in the NEW YORK, NY branch office. Sophia holds the SIE and the Series 99TO licenses.

Firm Information

Sophia Seaton 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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Sophia Seaton’s Registration & Firm History

NY

08/05/2020 - Present

Barclays Capital Inc. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/05/2020

Series 99TO - Operations Professional Examination

BC

Issued 06/25/2020

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Sophia Seaton.
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