Parker J. Seto
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.
Parker Jay Seto, who also goes by Seto Park Jew, P J Seto, Parker J Seto, Parker Seto, was a registered financial professional .
Parker is a previously registered financial professional and started their career in finance in 1986. Parker had worked at 20 firms and has passed the Series 63, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2012 - July 2, 2012
THINKEQUITY LLC
September 16, 2009 - May 7, 2010
LEGEND TRADING, LLC
June 16, 2008 - December 24, 2008
BETTERMENT SECURITIES
June 3, 2008 - May 7, 2010
LEGEND SECURITIES, INC.
May 14, 2008 - April 29, 2010
RANGE GLOBAL LLC
September 27, 2006 - October 26, 2006
OFFMAN SECURITIES, LLC
May 26, 2006 - September 19, 2006
CITIGROUP GLOBAL MARKETS INC.
May 14, 2002 - February 7, 2006
CARLIN EQUITIES, LLC
November 2, 2001 - February 7, 2006
US TRADING LLC
January 29, 2001 - March 21, 2005
COWEN SECURITIES LLC
August 24, 2000 - May 10, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 17, 1999 - July 7, 2000
CARLIN EQUITIES, LLC
October 19, 1998 - July 8, 1999
COWEN SECURITIES LLC
April 10, 1997 - March 31, 2000
WIN CAPITAL CORP.
June 5, 1996 - May 6, 1997
FIRST NATIONAL EQUITY, CORP.
November 22, 1995 - April 11, 1996
PFI, INC.
December 15, 1993 - August 3, 1994
CITICORP INVESTMENT SERVICES
June 26, 1991 - December 31, 1991
THE INVESTMENT CENTER, INC.
January 9, 1989 - July 26, 1989
BERKELEY SECURITIES CORPORATION
June 9, 1988 - September 21, 1988
COLEMAN & COMPANY SECURITIES, INC.
September 9, 1987 - November 19, 1987
HAAS SECURITIES CORPORATION
May 21, 1986 - September 11, 1987
OMNI MUTUAL, 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
THINKEQUITY LLC
CRD#: 20996 / SEC#: , 8-38622
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JAIGOBIND, RAMNARAIN JOSEPH JR | CHIEF EXECUTIVE OFFICER, GENERAL PRINCIPAL | 2273469 |
| FORDHAM HOLDING GROUP, INC. | SHAREHOLDER | |
| BAQUET, EDWARD MANUEL | OPTIONS PRINCIPAL | 4986983 |
| BAQUET, WILLIAM | GENERAL PRINCIPAL, PRESIDENT, DIRECTOR, SECRETARY, TREASURER, HEAD OF TRADING, NYSE GP, NYSE GS CHIEF OPERATING OFFICER | 1332676 |
| BOYLE, BRUCE | COMPLIANCE OFFICER, OPTIONS PRINCIPAL | 1796066 |
| CHOUDHARY, CHIRAG | HEAD OF EQUITY CAPITAL MARKETS AND INSTITUTIONAL SALES | 4534379 |
| GIORDANO, CHARLES FRANCIS | MANAGING DIRECTOR, GENERAL PRINCIPAL | 2124257 |
| HENDERSON, PHYLLIS ANNE | CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, NYSE GP, NYSE GS | 1343053 |
| HILDER, DAVID BRUCE | SUPERVISORY ANALYST, RESEARCH PRINCIPAL | 2178978 |
| KRIM, ALAN MITCHELL | CFO, FINOP, NYSE FI | 2785337 |
| KUMAR, ASHOK | MANAGING DIRECTOR, RESEARCH | 2374960 |
| LORD, ERIC | HEAD OF INVESTMENT BANKING | 5232206 |
| MANCUSO, PETER VINCENT | MANAGING DIRECTOR, EQUITY TRADING, NYSE COMPLIANCE OFFICER, FLOOR SUPERVISOR | 2357435 |
| MANGAN, KEVIN ROBERT | MANAGING DIRECTOR, HEAD OF EQUITY SYNDICATE | 5365766 |
| MOHAMMED, SABRINA JASMINE | FINOP | 7151560 |
| QUARTUCCIO, PHILIP PAUL | MANAGING DIRECTOR, HEAD OF GLOBAL TRADING | 2397864 |
| ROTHBAUM, SCOTT | SUPERVISOR - SALES | 5237026 |
| SINGER, JEFFREY DAVID | HEAD OF DEBT CAPITAL MARKETS | 4829339 |
| SKOP, CRAIG MICHAEL | S-24 SUPERVISOR - CORPORATE ACCESS | 2301924 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
