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Craig Lawrence Seitel

CRD# 1922899·Registered 1989 - 2012
Previously Registered: Being a previously registered professional could mean that Craig 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.

Professional Summary

Craig Lawrence Seitel was a registered financial advisor. Craig was a previously registered financial professional and started their career in finance 1989 - 2012. Craig had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

37 years in the financial services industry

Current & Past Employments

AXIS THOUGHT CAPITAL, LLC·CRD# 147507
BD
New York, NY
December 3, 2008 - May 1, 2012
SKYEBANC, INC.·CRD# 44164
BD
New York, NY
March 20, 2007 - October 2, 2007
ALLISON-WILLIAMS COMPANY·CRD# 29
BD
Roseville, MN
May 4, 2001 - March 4, 2005
TRADE.COM ONLINE SECURITIES, INC.·CRD# 36189
BD
New York, NY
October 13, 1999 - August 24, 2000
CIBC WORLD MARKETS CORP.·CRD# 630
BD
New York, NY
August 11, 1993 - September 15, 1999
ALLISON-WILLIAMS COMPANY·CRD# 29
BD
Roseville, MN
February 22, 1989 - August 7, 1993

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Current Firm

AT
AXIS THOUGHT CAPITAL, LLC

AXIS THOUGHT CAPITAL, LLC

CRD#: 147507 / SEC#: 8-67909
BD
Terminated by SEC on 06/30/2012

Contact Information

Established

Delaware since 06/30/2006

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
SEITEL, CRAIG LAWRENCEMEMBER/CEO/CCO1922899
CROSBY-BROWN, LAURA MAYCFO/FINOP1545513

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1989About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Feb 1989About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Apr 1993About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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