Seth H. Wohlberg

Some features on this profile are disabled

CRD#: 1657770

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.

Seth Hale Wohlberg was a registered financial professional .

Seth is a previously registered financial professional and started their career in finance in 1993. Seth had worked at 6 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 3, Series 14, Series 4 and Series 24 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)

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

March 19, 2001 - July 16, 2024

FAR HILLS GROUP, LLC.

CRD#: 32243

NEW YORK, NY

Past

February 8, 2000 - April 10, 2001

ING INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 21644

NEW YORK, NY

Past

November 22, 1999 - February 8, 2000

ABN AMRO SECURITIES LLC

CRD#: 6540

NEW YORK, NY

Past

June 22, 1999 - November 3, 1999

FUNDS DISTRIBUTOR, LLC

CRD#: 7174

PORTLAND, ME

Past

August 28, 1995 - June 24, 1999

NATIXIS SECURITIES NORTH AMERICA INC.

CRD#: 28722

Past

April 16, 1993 - June 6, 1995

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/22/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/21/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/15/1993

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 10/5/1992

National Commodity Futures Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 4

Date: 11/17/2003

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/24/2003

General Securities Principal Examination

Current Firm

FAR HILLS GROUP, LLC.

FAR HILLS GROUP, LLC. | FAR HILLS SECURITIES, LLC | FAR HILLS SECURITIES, INC.

CRD#: 32243 / SEC#: , 8-45675

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

747 3rd Avenue 30th Floor, New York, NY, 10017

Mailing Address

747 3rd Avenue 30th Floor, New York, NY, 10017

Phone number

(212) 840-7779

Established

Delaware since 12/12/1996

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FAR HILLS GROUP HOLDINGS LLC	OWNER
HALVORSON, HALVOR MIKEL	MEMBER/CCO	3145839

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Seth H. Wohlberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ING INVESTMENT MANAGEMENT SERVICES LLC

ABN AMRO SECURITIES LLC

FUNDS DISTRIBUTOR, LLC

NATIXIS SECURITIES NORTH AMERICA INC.

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/22/1992

Series 63

Date: 4/21/1992

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/15/1993

Series 3

Date: 10/5/1992

Series 14

Date: 1/2/2023

Series 4

Date: 11/17/2003

Series 24

Date: 6/24/2003

Current Firm

FAR HILLS GROUP, LLC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FAR HILLS GROUP, LLC.

TRUST BUT VERIFY

Similar Advisors