John J. Seton
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.
John Joseph Seton, who also goes by John Seton, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 4 firms and has passed the Series 72 and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2023 - July 17, 2026
TP ICAP GLOBAL MARKETS AMERICAS LLC
September 3, 2009 - June 30, 2023
TULLETT PREBON FINANCIAL SERVICES LLC
June 21, 2006 - January 6, 2010
PREBON FINANCIAL PRODUCTS INC.
December 2, 1987 - June 13, 2007
PREBON SECURITIES (USA) 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
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationCurrent Firm
TP ICAP GLOBAL MARKETS AMERICAS LLC
CRD#: 2762 / SEC#: , 8-12726
Contact information
FINRA licenses (35 States and Territories)
Documents
Disclosures
| Regulatory Event | 32 |
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.
