Seth J. Varnhagen

FIFTH SET PRIVATE WEALTH MANAGEMENT LLC

Harrison, NY 10528

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CRD#: 2235276

Professional summary

Seth Jay Varnhagen is a registered financial advisor currently at FIFTH SET PRIVATE WEALTH MANAGEMENT LLC located in Harrison, New York.

Seth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Seth has worked at 4 firms and has passed the Series 65, Series 66, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1) SOLE TRUSTEE FOR FAMILY TENTAMENTARY TRUST, 2001 TO PRESENT. NOT INVESTMENT-RELATED. 5-10 HRS/MONTH SPENT, MORE THAN HALF PERFORMED OUTSIDE OF SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seth Jay Varnhagen'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

June 9, 2021 - Present

FIFTH SET PRIVATE WEALTH MANAGEMENT LLC

Office #1: 600 Mamaroneck Avenue Suite 400, Harrison, NY 10528

RIA

CRD#: 159118

Harrison, NY

Past

May 31, 2021 - July 21, 2021

NORTH CASTLE ADVISORS, LLC

RIA

CRD#: 131182

Dobbs Ferry, NY

Past

February 21, 2006 - December 31, 2016

NORTH CASTLE ADVISORS, LLC

RIA

CRD#: 131182

DOBBS FERRY, NY

Past

September 28, 1998 - January 25, 1999

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

June 1, 1992 - April 26, 1993

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

May 12, 1992 - June 1, 1992

CITICORP FINANCIAL SERVICES,INC.

CRD#: 14675

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FIFTH SET PRIVATE WEALTH MANAGEMENT LLC

FIFTH SET INVESTMENT ADVISORS LLC | IAN POST INVESTMENT ADVISOR | FIFTH SET PRIVATE WEALTH MANAGEMENT LLC

CRD#: 159118 / SEC#: 801-110682

RIA

Registered Investment Advisory firm - (6/22/2017 Approved)

New York

Registered Investment Advisory firm - (6/30/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(6/9/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/15/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/14/1998

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/22/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/25/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/17/1998

General Securities Principal Examination

Current Firm

FIFTH SET PRIVATE WEALTH MANAGEMENT LLC

FIFTH SET INVESTMENT ADVISORS LLC | IAN POST INVESTMENT ADVISOR | FIFTH SET PRIVATE WEALTH MANAGEMENT LLC

CRD#: 159118 / SEC#: 801-110682

RIA

Registered Investment Advisory firm - (6/22/2017 Approved)

New York

Registered Investment Advisory firm - (6/30/2017 Terminated)

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Contact information

Main Address

Larchmont, NY

Mailing Address

Phone number

(646) 783-9717

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIFTH SET PRIVATE WEALTH MANAGEMENT FORM ADV PART 2A (JANUARY 7, 2025) (4/30/2025)

Regulatory assets under management

Total Number of Accounts	310
AUM (Assets Under Management)	$ 146,925,238

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.

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Firm Stability Insights

Seth J. Varnhagen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seth Jay Varnhagen's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTH CASTLE ADVISORS, LLC

NORTH CASTLE ADVISORS, LLC

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

CITICORP FINANCIAL SERVICES,INC.

Primary Firm SEC Registration

FIFTH SET PRIVATE WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/15/2004

Series 66

Date: 10/14/1998

Series 63

Date: 6/22/1992

Series 7

Date: 9/25/1998

Series 24

Date: 11/17/1998

Current Firm

FIFTH SET PRIVATE WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIFTH SET PRIVATE WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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