ST
Seth T. Toney
UBS ASSET MANAGEMENT (US)
New York, NY 10019
Some features on this profile are disabled
CRD#: 1901500
ST
Professional summary
Seth Thedford Toney II, who also goes by Seth Thedford Toney, Seth Theford Toney, is a registered financial professional currently at UBS ASSET MANAGEMENT (US) INC. located in New York, New York.
Seth is registered as a RR (Registered Representative) and started their career in finance in 1988. Seth has worked at 2 firms and has passed the Series 63, Series 65, Series 3, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Seth Thedford Toney | Seth Theford Toney
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.
CRS (Client Relationship Summary) - BD
Click below to view Seth Thedford Toney II'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®
NoneExperience
Current
June 15, 2013 - Present
UBS ASSET MANAGEMENT (US) INC.
Office #1: 787 Seventh Avenue, New York, NY 10019BD
CRD#: 583
New York, NY
Past
November 23, 1988 - December 10, 1992
DB ALEX. BROWN LLC
BD
CRD#: 17790
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(7/24/2013)
RR
Alaska(7/24/2013)
RR
Arizona(7/24/2013)
RR
Arkansas(7/24/2013)
RR
California(7/24/2013)
RR
Colorado(6/15/2013)
RR
Connecticut(7/24/2013)
RR
Delaware(7/24/2013)
RR
District of Columbia(6/15/2013)
RR
Florida(6/15/2013)
RR
Georgia(7/24/2013)
RR
Hawaii(7/24/2013)
RR
Idaho(7/24/2013)
RR
Illinois(7/24/2013)
RR
Indiana(7/24/2013)
RR
Iowa(7/24/2013)
RR
Kansas(7/24/2013)
RR
Kentucky(7/24/2013)
RR
Louisiana(6/15/2013)
RR
Maine(7/24/2013)
RR
Maryland(6/15/2013)
RR
Massachusetts(7/24/2013)
RR
Michigan(7/24/2013)
RR
Minnesota(7/24/2013)
RR
Mississippi(7/24/2013)
RR
Missouri(7/24/2013)
RR
Montana(7/24/2013)
RR
Nebraska(7/24/2013)
RR
Nevada(7/24/2013)
RR
New Hampshire(7/24/2013)
RR
New Jersey(6/15/2013)
RR
New Mexico(7/24/2013)
RR
New York(7/24/2013)
RR
North Carolina(7/25/2013)
RR
North Dakota(7/24/2013)
RR
Ohio(6/17/2013)
RR
Oklahoma(7/24/2013)
RR
Oregon(7/24/2013)
RR
Pennsylvania(7/24/2013)
RR
Puerto Rico(6/15/2013)
RR
Rhode Island(7/24/2013)
RR
South Carolina(7/24/2013)
RR
South Dakota(7/24/2013)
RR
Texas(7/24/2013)
RR
Utah(7/24/2013)
RR
Vermont(6/15/2013)
RR
Virgin Islands(7/24/2013)
RR
Virginia(7/24/2013)
RR
Washington(7/24/2013)
RR
West Virginia(7/24/2013)
RR
Wisconsin(7/24/2013)
RR
Wyoming(7/24/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UA
UBS ASSET MANAGEMENT (US) INC.
BRINSON ADVISORS | UBS GLOBAL ASSET MANAGEMENT (US) INC. | UBS GLOBAL ASSET MANAGEMENT | UBS ASSET MANAGEMENT (US) INC. | PAINE WEBBER MITCHELL HUTCHINS INC. | MITCHELL HUTCHINS ASSET MANAGEMENT INC. | BRINSON ADVISORS, INC.
CRD#: 583 / SEC#: , 8-21901
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
1285 Avenue Of The Americas, New York, NY 10019
Mailing Address
1285 Avenue Of The Americas, New York, NY 10019
Phone number
(212) 821-3000
Established
Delaware since 05/05/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 10 |
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.
