Thomas G. Seitz

CLARENDON INSURANCE AGENCY

Waltham, MA 02451

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CRD#: 1326503

Professional summary

Thomas Gerard Seitz is a registered financial professional currently at CLARENDON INSURANCE AGENCY, INC. located in Waltham, Massachusetts.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1985. Thomas has worked at 16 firms and has passed the Series 63, SIE, Series 31, Series 7, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Gerard Seitz's CRS (Customer Relationship Summary).

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

Current

August 8, 2013 - Present

CLARENDON INSURANCE AGENCY, INC.

Office #1: 230 3rd Avenue 6th Floor, Waltham, MA 02451

CRD#: 7395

Waltham, MA

Past

October 12, 2009 - December 31, 2011

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

BOSTON, MA

Past

October 17, 2008 - September 28, 2009

MOUNT YALE SECURITIES, LLC

CRD#: 126870

DENVER, CO

Past

April 16, 2007 - August 8, 2008

LOCORR DISTRIBUTORS, LLC

CRD#: 41782

EXCELSIOR, MN

Past

February 7, 2007 - April 3, 2007

ALLIANZ LIFE FINANCIAL SERVICES, LLC

CRD#: 612

MINNEAPOLIS, MN

Past

August 12, 2006 - September 11, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 24, 2004 - August 12, 2006

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

January 2, 2003 - May 6, 2004

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Past

March 22, 1999 - March 4, 2003

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

BOSTON, MA

Past

March 2, 1998 - April 9, 1999

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

October 11, 1995 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

January 10, 1994 - September 7, 1995

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

June 23, 1992 - September 21, 1993

CNR SECURITIES, LLC

CRD#: 18466

NEW YORK, NY

Past

July 8, 1991 - March 30, 1992

SWIFT ENERGY MARKETING COMPANY

CRD#: 17422

HOUSTON, TX

Past

February 4, 1991 - June 24, 1991

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

February 25, 1988 - December 14, 1990

GRAHAM SECURITIES CORPORATION

CRD#: 13099

Past

December 9, 1986 - November 20, 1987

PIPER SANDLER & CO.

CRD#: 665

Past

January 23, 1985 - November 24, 1986

APACHE PROGRAMS, INC.

CRD#: 50

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(1/30/2019)

Alaska
(3/30/2019)

Arizona
(3/30/2019)

Arkansas
(7/15/2019)

California
(10/26/2018)

Colorado
(11/6/2018)

Connecticut
(11/19/2018)

Delaware
(5/6/2019)

District of Columbia
(5/13/2019)

Georgia
(8/23/2019)

Hawaii
(5/3/2019)

Idaho
(3/30/2019)

Illinois
(1/2/2019)

Indiana
(3/27/2019)

Iowa
(3/30/2019)

Kansas
(4/12/2019)

Kentucky
(3/30/2019)

Louisiana
(10/26/2018)

Maine
(6/21/2019)

Maryland
(3/30/2019)

Massachusetts
(8/8/2013)

Michigan
(11/7/2018)

Minnesota
(3/30/2019)

Mississippi
(11/9/2018)

Missouri
(4/10/2019)

Montana
(3/30/2019)

Nebraska
(3/30/2019)

Nevada
(3/30/2019)

New Hampshire
(11/15/2019)

New Mexico
(4/12/2019)

New York
(3/30/2019)

North Carolina
(3/30/2019)

North Dakota
(3/30/2019)

Ohio
(11/6/2018)

Oklahoma
(3/30/2019)

Oregon
(3/30/2019)

Pennsylvania
(10/30/2018)

Rhode Island
(11/14/2018)

South Carolina
(4/17/2019)

South Dakota
(3/30/2019)

Tennessee
(3/30/2019)

Texas
(1/18/2019)

Utah
(3/30/2019)

Vermont
(4/2/2019)

Virginia
(1/2/2019)

Washington
(5/14/2019)

West Virginia
(4/9/2019)

Wisconsin
(3/30/2019)

Wyoming
(8/7/2019)

Exams

State Security Law Exam

Series 63

Date: 1/4/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/14/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/19/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/25/2005

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 5/3/2000

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

CLARENDON INSURANCE AGENCY, INC.

CLARENDON INSURANCE AGENCY, INC. | GEORGE E. MADEN | EMAC TRADING LLC

CRD#: 7395 / SEC#: , 8-21590

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

230 3rd Ave 6th Floor, Waltham, MA 02451

Mailing Address

230 3rd Ave 6th Floor, Waltham, MA 02451

Phone number

(781) 790-8600

Established

Massachusetts since 03/04/1968

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
DELAWARE LIFE INSURANCE COMPANY	SOLE SHAREHOLDER
BLOOM, MICHAEL SCOTT	DIRECTOR & SECRETARY	5200070
CAREY, ELIZABETH	CHIEF COMPLIANCE OFFICER	4889080
JOSEPH, JAMES	FINANCIAL AND OPERATIONS PRINCIPAL	6576566
LAKE, COLIN C	PRESIDENT AND DIRECTOR	2717313
WANG, FANG LINDA	DIRECTOR	7675208

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

Thomas G. Seitz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Gerard Seitz's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

MOUNT YALE SECURITIES, LLC

LOCORR DISTRIBUTORS, LLC

ALLIANZ LIFE FINANCIAL SERVICES, LLC

UBS FINANCIAL SERVICES INC.

PIPER SANDLER & CO.

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

MFS FUND DISTRIBUTORS, INC.

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CNR SECURITIES, LLC

SWIFT ENERGY MARKETING COMPANY

TRANSAMERICA CAPITAL, LLC

GRAHAM SECURITIES CORPORATION

PIPER SANDLER & CO.

APACHE PROGRAMS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/4/1985

SIE

Date: 10/1/2018

Series 31

Date: 8/14/2007

Series 7

Date: 1/19/1985

Series 24

Date: 2/25/2005

Series 26

Date: 5/3/2000

FINRA

Current Firm

CLARENDON INSURANCE AGENCY, INC.

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CLARENDON INSURANCE AGENCY, INC.

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