Seth R. Wax
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.
Seth R Wax, who also goes by Seth Wax, Seth R Wax, Seth Reese Wax, was a registered financial professional .
Seth is a previously registered financial professional and started their career in finance in 1991. Seth had worked at 24 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2022 - December 5, 2022
FIDELITY BROKERAGE SERVICES LLC
December 4, 2019 - November 11, 2021
BROOKSTONE CAPITAL MANAGEMENT LLC
January 19, 2017 - January 15, 2019
BANCWEST INVESTMENT SERVICES, INC.
January 18, 2017 - January 15, 2019
BANCWEST INVESTMENT SERVICES, INC.
July 15, 2016 - January 9, 2017
TD AMERITRADE, INC.
July 15, 2016 - January 9, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 15, 2016 - January 9, 2017
TD AMERITRADE, INC.
September 22, 2011 - June 30, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 22, 2011 - June 30, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 3, 2011 - June 27, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - June 27, 2011
WELLS FARGO CLEARING SERVICES, LLC
April 27, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
April 23, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
November 6, 2007 - May 11, 2010
WELLS FARGO CLEARING SERVICES, LLC
November 6, 2007 - May 11, 2010
WELLS FARGO CLEARING SERVICES, LLC
May 6, 2004 - April 17, 2007
STRATEGIC ADVISERS LLC
April 20, 2004 - April 17, 2007
FIDELITY BROKERAGE SERVICES LLC
April 29, 2003 - November 18, 2003
VOYA FINANCIAL PARTNERS, LLC
April 29, 2003 - November 18, 2003
VOYA FINANCIAL PARTNERS, LLC
September 11, 2002 - April 29, 2003
PENSION PLANNERS SECURITIES, INC.
September 11, 2002 - April 29, 2003
PENSION PLANNERS SECURITIES, INC.
August 27, 2002 - September 17, 2002
QUICK & REILLY, INC.
August 27, 2002 - September 17, 2002
QUICK & REILLY, INC.
October 16, 2001 - April 15, 2002
INVESMART SECURITIES, LLC
July 21, 1999 - February 21, 2001
CUNA BROKERAGE SERVICES, INC.
July 24, 1998 - July 16, 1999
CAL FED INVESTMENTS
February 20, 1998 - July 17, 1998
GRIFFIN FINANCIAL SERVICES
December 18, 1995 - March 9, 1998
FIMCO SECURITIES GROUP, INC.
April 21, 1995 - December 13, 1995
FOOTHILL SECURITIES, INC.
May 23, 1994 - April 27, 1995
WELLS FARGO SECURITIES INC.
October 20, 1993 - May 9, 1994
INVEST FINANCIAL CORPORATION
January 19, 1993 - October 20, 1993
FIRST MONTAUK SECURITIES CORP.
August 1, 1991 - February 9, 1993
IFMG SECURITIES, INC.
July 16, 1991 - August 1, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
February 8, 1991 - September 9, 1991
VP DISTRIBUTORS LLC
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 7TO
Date: 7/19/2022
General Securities Representative ExaminationCurrent Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
