Daniele M. Seitz
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.
Daniele Marie Seitz was a registered financial professional .
Daniele is a previously registered financial professional and started their career in finance in 1992. Daniele had worked at 7 firms and has passed the Series 65, Series 63, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2020 - December 19, 2024
ASCENSION ASSET MANAGEMENT LLC
April 3, 2009 - March 4, 2011
MIDWOOD SECURITIES, INC.
January 24, 2006 - March 10, 2008
COWEN SECURITIES LLC
September 5, 2003 - April 27, 2006
BGC FINANCIAL, L.P.
April 2, 2001 - July 30, 2003
CITIGROUP GLOBAL MARKETS INC.
June 25, 1998 - June 29, 1998
SBC WARBURG DILLON READ INC.
July 8, 1992 - December 1, 2000
UBS SECURITIES 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
Current Firm
ASCENSION ASSET MANAGEMENT LLC
CRD#: 132067 / SEC#: 801-63271
Contact information
Regulatory assets under management
| Total Number of Accounts | 48 |
| AUM (Assets Under Management) | $ 200,117,860 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/21/2023 | ||
| 01/27/2023 |
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.
