Seth C. Warner
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 C. Warner, who also goes by Seth Warner, was a registered financial professional .
Seth is a previously registered financial professional and started their career in finance in 1975. Seth had worked at 4 firms and has passed the Series 3 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2012 - December 13, 2022
ETFCONCEPTS
June 25, 2004 - August 7, 2007
UPLAND CAPITAL MANAGEMENT, LLC
October 9, 2003 - June 1, 2004
OLSON MOBECK INVESTMENT ADVISORS, INC
May 2, 1975 - October 2, 2003
WARNER PRINCE INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
ETFCONCEPTS
CRD#: 159411 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 7,819,448 |
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.
