Audrey M. Seth
Professional summary
Audrey Marie Seth, who also goes by Audrey Marie Lettieri, is a registered financial professional currently at AXIOM CAPITAL MANAGEMENT, INC. located in New York, New York.
Audrey is registered as a RR (Registered Representative) and started their career in finance in 1983. Audrey has worked at 2 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Audrey Marie Seth's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 23, 2006 - Present
AXIOM CAPITAL MANAGEMENT, INC.
Office #1: 350 Fifth Avenue Suite 6740, New York, NY 10118October 19, 1983 - February 2, 1987
SLOATE, WEISMAN, MURRAY & COMPANY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/24/2006)
(3/23/2006)
(7/19/2006)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Nasdaq Stock Market
Current Firm
AXIOM CAPITAL MANAGEMENT, INC.
CRD#: 26580 / SEC#: , 8-42638
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
