Seth Goldberg
Professional Summary
Seth Goldberg, who also goes by Seth David Goldberg, is a registered financial advisor currently at BUCKLER SECURITIES LLC located in Greenwich, Connecticut. Seth is registered as a RR (Registered Representative) and started their career in finance in 1989. Seth has worked at 7 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Seth David Goldberg
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
BUCKLER SECURITIES LLC
Contact Information
Main Address
5 Greenwich Office Park, Suite 350, Greenwich, CT 06831Mailing Address
5 Greenwich Office Park, Suite 350, Greenwich, CT 06831Phone Number
(203) 633-2225Established
Delaware since 04/28/2016Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (17 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ULM, SCOTT JEFFREY | PRINCIPAL | 1575205 |
| ZIMMER, JEFFREY JOHNSON | PRINCIPLE | 1303531 |
| MARK BELL VENTURES | OWNER | — |
| ARMOUR TRS INC | SHAREHOLDER | — |
| STATON, DANIEL CURTIS | SHAREHOLDER | 1538040 |
| STATON, MARIA VASSILIKI | SHAREHOLDER | 2197620 |
| CONIGLIARIO, THOMAS JOSEPH | CHIEF OPERATING OFFICER / PRINCIPLE OPERATIONS OFFICER | 1366831 |
| ESANNASON, CARLO YVAN | CCO | 4869110 |
| HARPER, GORDON MACKAY | CHIEF FINANCIAL OFFICER | 6632019 |
| JOSHI, JAI PAUL | CHIEF RISK OFFICER | 2263070 |
| KOKKO, LASSE ARTTURI | PRINCIPLE FINANCIAL OFFICER ("PFO") / FINOP | 6976957 |
| MISIANO, RICHARD JOHN | CHIEF EXECUTIVE OFFICER | 2339879 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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
(1/30/2024)
(1/18/2024)
(1/18/2024)
(1/31/2024)
(1/22/2024)
(1/25/2024)
(1/22/2024)
(1/18/2024)
(11/6/2024)
(1/22/2024)
(1/22/2024)
(1/18/2024)
(1/19/2024)
(1/18/2024)
(1/18/2024)
(1/18/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Seth Goldberg's CRS (Customer Relationship Summary).
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