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SG

Seth J. Gersch

ZANBATO SECURITIES LLC
Mountain View, CA 94043
Some features on this profile are disabled
CRD#: 221327
SG

Professional summary

Seth Jonathan Gersch is a registered financial professional currently at ZANBATO SECURITIES LLC located in Mountain View, California.

Seth is registered as a RR (Registered Representative) and started their career in finance in 1971. Seth has worked at 9 firms and has passed the Series 63, Series 7TO, SIE, Series 5, Series 000, Series 1, Series 24, Series 4 and Series 40 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 Jonathan Gersch'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

May 20, 2017 - Present

ZANBATO SECURITIES LLC

Office #1: 711 / 715 N. Shoreline Blvd., Mountain View, CA 94043
BD
CRD#: 279028
Mountain View, CA
Past

October 20, 2014 - August 10, 2015

EQUUS FINANCIAL CONSULTING LLC

BD
CRD#: 131449
NEW CANAAN, CT
Past

April 13, 2009 - November 6, 2012

THINKEQUITY LLC

BD
CRD#: 44274
SAN FRANCISCO, CA
Past

February 13, 2004 - June 4, 2007

THINKEQUITY LLC

BD
CRD#: 44274
SAN FRANCISCO, CA
Past

January 30, 2003 - December 18, 2003

PRESIDIO CAPITAL ADVISORS, LLC

BD
CRD#: 116284
SAN FRANCISCO, CA
Past

April 12, 1991 - September 19, 2002

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

February 1, 1983 - October 1, 1997

MONTGOMERY SECURITIES

BD
CRD#: 4357
SAN FRANCISCO, CA
Past

February 27, 1980 - February 9, 1983

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
Past

May 23, 1977 - February 27, 1980

MORGAN STANLEY & CO., INCORPORATED

BD
CRD#: 5203
Past

April 22, 1971 - June 21, 1977

CIBC WORLD MARKETS CORP.

BD
CRD#: 630

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
California
(5/20/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 11/2/1979
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 5
Date: 3/16/1982
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 000
Date: 4/26/1971
General Securities Principal Examination
General Industry/Product Exam
RR
Series 1
Date: 4/19/1971
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/6/1978
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 40
Date: 10/25/1976
Registered Principal Examination
SRO Registrations
RR
FINRA

Current Firm

ZS
ZANBATO SECURITIES LLC
ZANBATO SECURITIES LLC

CRD#: 279028 / SEC#: , 8-69654

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

Main Address
711 / 715 N. Shoreline Blvd., Mountain View, CA 94043
Mailing Address
711 / 715 N. Shoreline Blvd., Mountain View, CA 94043
Phone number
(650) 557-2333
Established
Delaware since 06/17/2015
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (41 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#
ZANBATO HOLDING COMPANY LLCMEMBER
FITZGERALD, HEATHERCFO4427665
RAFFERTY, MARIANNECCO1982973
SAND, KNUT NICOLAICEO6115928
WRIGHT, GREGORY LANCEPRESIDENT1564124

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

ZANBATO SECURITIES LLC

CRD#: 279028Mountain View, CA 94043

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