Gregory Phillip Seal | Financial Professional

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.

Gregory Phillip Seal was a registered financial professional .

Gregory is a previously registered financial professional and started their career in finance in 1984. Gregory had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)INDEPENDENT REP WITH VARIOUS INSURANCE CARRIERS FOR FIXED ONLY.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 10, 2015 - June 26, 2024

ARAX ADVISORY PARTNERS

RIA

CRD#: 133535

Greenwood Village, CO

Past

January 4, 2005 - February 10, 2015

GENEOS WEALTH MANAGEMENT, INC.

BD

CRD#: 120894

DENVER, CO

Past

September 28, 2000 - December 31, 2004

FIRST ALLIED SECURITIES, INC.

BD

CRD#: 32444

SAN DIEGO, CA

Past

January 1, 1999 - February 9, 2015

SEAL FINANCIAL SERVICES, INC.

RIA

CRD#: 113945

DENVER, CO

Past

September 11, 1998 - October 25, 2000

D.E. FREY & COMPANY, INC.

BD

CRD#: 23595

DENVER, CO

Past

January 4, 1993 - September 11, 1998

IFG NETWORK SECURITIES, INC.

BD

CRD#: 19948

ATLANTA, GA

Past

August 22, 1984 - December 31, 1992

PLANNED INVESTMENTS INC.

BD

CRD#: 5066

ATLANTA, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AA

ARAX ADVISORY PARTNERS

CRD#: 133535 / SEC#: 801-67165

RIA

Registered Investment Advisory firm - (9/20/2006 Approved)

California

Registered Investment Advisory firm - (10/18/2006 Terminated)

Colorado

Registered Investment Advisory firm - (11/14/2006 Terminated)

Georgia

Registered Investment Advisory firm - (5/24/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/31/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 10/15/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 2/10/2015

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 8/18/1984

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 51

Date: 5/5/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

RR

Series 24

Date: 10/6/1992

General Securities Principal Examination

Current Firm

AA

ARAX ADVISORY PARTNERS

CRD#: 133535 / SEC#: 801-67165

RIA

Registered Investment Advisory firm - (9/20/2006 Approved)

California

Registered Investment Advisory firm - (10/18/2006 Terminated)

Colorado

Registered Investment Advisory firm - (11/14/2006 Terminated)

Georgia

Registered Investment Advisory firm - (5/24/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

730 17th Street Suite 107, Denver, CO 80202

Mailing Address

Phone number

(303) 633-5900

Established

Firm type

Fiscal year end

# of Employees

106

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AAP FORM ADV PART 2A 11172025 (11/17/2025)

Regulatory assets under management

Total Number of Accounts	16,559
AUM (Assets Under Management)	$ 8,960,126,874

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.

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Advisor Monitoring

Firm Stability Insights

Gregory P. Seal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GENEOS WEALTH MANAGEMENT, INC.

FIRST ALLIED SECURITIES, INC.

SEAL FINANCIAL SERVICES, INC.

D.E. FREY & COMPANY, INC.

IFG NETWORK SECURITIES, INC.

PLANNED INVESTMENTS INC.

Primary Firm SEC Registration

ARAX ADVISORY PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/31/1999

Series 63

Date: 10/15/1984

SIE

Date: 2/10/2015

Series 7

Date: 8/18/1984

Series 51

Date: 5/5/2003

Series 24

Date: 10/6/1992

Current Firm

ARAX ADVISORY PARTNERS

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARAX ADVISORY PARTNERS

TRUST BUT VERIFY

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