Joni K. Seaton
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.
Joni Kay Seaton, who also goes by Joni Christiansen Seaton, Joni Kay Christiansen Seaton, was a registered financial professional .
Joni is a previously registered financial professional and started their career in finance in 1984. Joni had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2007 - April 19, 2017
PURSHE KAPLAN STERLING INVESTMENTS
November 16, 2007 - November 27, 2007
WELLS FARGO INVESTMENTS, LLC
October 23, 2002 - November 27, 2007
WELLS FARGO INVESTMENTS, LLC
February 24, 2000 - November 20, 2001
KFS BD, INC.
May 17, 1998 - August 12, 1998
INVESTMENT CENTERS OF AMERICA, INC.
September 21, 1984 - June 17, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 26, 1984 - September 10, 1984
KFS BD, 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
Exams
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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