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SB

Seth I. Braunstein

DOWLING & PARTNERS SECURITIES LLC
Norwalk, CT 06854
Some features on this profile are disabled
CRD#: 2022775
SB

Professional summary

Seth Ira Braunstein is a registered financial professional currently at DOWLING & PARTNERS SECURITIES LLC located in Norwalk, Connecticut.

Seth is registered as a RR (Registered Representative) and started their career in finance in 1995. Seth has worked at 8 firms and has passed the Series 63, Series 57TO, Series 79TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Seth Ira Braunstein's CRS (Customer Relationship Summary).
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®
None

Experience

Current

March 22, 2004 - Present

DOWLING & PARTNERS SECURITIES LLC

Office #1: 40 Richards Ave Suite 210, Norwalk, CT 06854
BD
CRD#: 24746
Norwalk, CT
Past

February 20, 2003 - July 18, 2003

EKN FINANCIAL SERVICES INC.

BD
CRD#: 113525
MELVILLE, NY
Past

March 6, 2002 - October 15, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 28, 1998 - October 11, 2002

HERZOG, HEINE, GEDULD, LLC

BD
CRD#: 2186
NEW YORK, NY
Past

December 18, 1996 - September 11, 1998

PERSHING ADVISOR SOLUTIONS LLC

BD
CRD#: 36671
JERSEY CITY, NJ
Past

April 24, 1996 - December 9, 1996

MARLEAU LEMIRE (U.S.A.), INC.

BD
CRD#: 35910
TORONTO ONTARIO M5H 1J9,
Past

April 6, 1995 - March 20, 1996

D. H. BLAIR & CO., INC.

BD
CRD#: 6833
NEW YORK, NY
Past

January 31, 1995 - April 7, 1995

ALEXANDER, WESCOTT, & CO., INC.

BD
CRD#: 35935
UTICA, NY

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
Connecticut
(3/22/2004)

Exams

State Security Law Exam
RR
Series 63
Date: 2/3/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/24/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/30/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/25/1996
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

D&
DOWLING & PARTNERS SECURITIES LLC
DOWLING & PARTNERS SECURITIES LLC | PAULSEN, DOWLING SECURITIES, INC. | PAULSEN, DOWLING SECURITIES LLC | PAULSEN SECURITIES, INC. | DOWLING HALES, LLC

CRD#: 24746 / SEC#: , 8-35658

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
190 Farmington Avenue, Farmington, CT 06032
Mailing Address
190 Farmington Avenue, Farmington, CT 06032
Phone number
(860) 676-8600
Established
Connecticut since 07/01/1994
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DOWLING CORPORATION100% OWNER
BYRNE, THOMAS ARTHURPRESIDENT/CEO/EXECUTIVE REPRESENTATIVE1334509
DOWLING, VERONICA ALVAREZCHIEF OPERATING OFFICER/CHIEF FINANCIAL OFFICER5166888
HANLEY, JOSEPH PATRICK JRHEAD TRADER3060247
HILBIE, KRISTA ANNCHIEF COMPLIANCE OFFICER1712680
LENT, BRENNA SULLIVANMEMBER2399560
NIXON, JON ALANFINOP4710715

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.

Company Information

DOWLING & PARTNERS SECURITIES LLC

CRD#: 24746Norwalk, CT 06854

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