Jeffrey K. Seale
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jeffrey Keefe Seale SR, who also goes by Jeff Seale Sr, Jeff Seale, Jeffrey Keefe Seale, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1983. Jeffrey had worked at 11 firms and has passed the Series 63, Series 7, Series 6, Series 52 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 1997 - November 29, 2001
B. RILEY WEALTH MANAGEMENT
January 9, 1992 - December 20, 1996
AMERICAN INVESTMENT SERVICES, INC.
October 2, 1991 - January 2, 1992
LUMIERE SECURITIES, INC.
February 4, 1991 - October 22, 1991
SECURITIES AMERICA, INC.
May 25, 1990 - January 23, 1991
THE INVESTMENT CENTER, INC.
March 5, 1990 - May 29, 1990
AMERICAN CAPITAL EQUITIES, INC.
December 1, 1987 - March 1, 1990
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
August 27, 1984 - December 7, 1987
BRENNER STEED, INC.
May 16, 1984 - September 7, 1984
SWINK & COMPANY, INC.
February 2, 1984 - May 17, 1984
PARK, RYAN, INC.
November 16, 1983 - January 25, 1984
MUNICIPAL SECURITIES, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
