Thomas G. Seitz
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.
Thomas Gerard Seitz was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 16 firms and has passed the Series 63, SIE, Series 31, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2013 - January 5, 2026
CLARENDON INSURANCE AGENCY, INC.
October 12, 2009 - December 31, 2011
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
October 17, 2008 - September 28, 2009
MOUNT YALE SECURITIES, LLC
April 16, 2007 - August 8, 2008
LOCORR DISTRIBUTORS, LLC
February 7, 2007 - April 3, 2007
ALLIANZ LIFE FINANCIAL SERVICES, LLC
August 12, 2006 - September 11, 2006
UBS FINANCIAL SERVICES INC.
May 24, 2004 - August 12, 2006
PIPER SANDLER & CO.
January 2, 2003 - May 6, 2004
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
March 22, 1999 - March 4, 2003
MFS FUND DISTRIBUTORS, INC.
March 2, 1998 - April 9, 1999
RBC CAPITAL MARKETS, LLC
October 11, 1995 - March 2, 1998
DAIN RAUSCHER INCORPORATED
January 10, 1994 - September 7, 1995
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
June 23, 1992 - September 21, 1993
CNR SECURITIES, LLC
July 8, 1991 - March 30, 1992
SWIFT ENERGY MARKETING COMPANY
February 4, 1991 - June 24, 1991
TRANSAMERICA CAPITAL, LLC
February 25, 1988 - December 14, 1990
GRAHAM SECURITIES CORPORATION
December 9, 1986 - November 20, 1987
PIPER SANDLER & CO.
January 23, 1985 - November 24, 1986
APACHE PROGRAMS, 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
CLARENDON INSURANCE AGENCY, INC.
CRD#: 7395 / SEC#: , 8-21590
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
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.
