SS
Seth H. Schwartz
KCD FINANCIAL
Cheyenne, WY
Some features on this profile are disabled
CRD#: 2366063
SS
Professional summary
Seth Howard Schwartz, who also goes by Seth H Schwartz, is a registered financial advisor currently at KCD FINANCIAL, INC. located in Cheyenne, Wyoming.
Seth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Seth has worked at 19 firms and has passed the Series 65, Series 63, Series 52TO, Series 7TO, SIE, Series 31, Series 7, Series 9, Series 10, Series 53, Series 4, Series 14, Series 8 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Seth H Schwartz
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-BROADRIDGE FINANCIAL SOLUTIONS, INC. NOT INVESTMENT RELATED, CHEYENNE, WY. PROVIDER OF FINANCIAL/INVESTMENT RELATED NEWSLETTERS, SEMINARS, AND WEB SITES - COMPLIANCE PRINCIPAL. START 6-24-10, 40 HOURS PER WEEK ALL OF WHICH ARE DURING MARKET HOURS. RESPONSIBLE FOR REVIEWING BROADRIDGE PREPARED CONTENT AND THEN SUBMITTING IT TO FINRA FOR REVIEW THROUGH MY REGISTRATION WITH KCD FINANCIAL. 2- SETH SCHWARTZ, NOT INVESTMENT RELATED, CHEYENNE, WY. SECURITIES AND ADVISORY COMPLIANCE CONSULTING - OWNER. START 6-24-10, HOURS VARY DEPENDING ON NUMBER OF CLIENTS AND CLIENT NEEDS, BUT WORK WOULD BE DURING NON-MARKET HOURS. 3-FINRA, NOT INVESTMENT RELATED, Cheyenne, WY. SECURITIES REGULATOR - ARBITRATOR. START 6-24-10, HOURS VARY--DEPENDS ON WHEN NEEDED. COULD SIT ON A FINRA ARBITRATION PANEL AND PAID AN HONORARIUM WHEN PARTICIPATE ON PANEL. 4-THOMAS HEIGHTS HOMEOWNERS ASSOCIATION, NOTINVESTMENT RELATED, NO COMPENSATION, CHEYENNE, WY-HOA BOARD MEMBER, START 2-21-2023, ALL FUNDS HANDLED BY THIRD PARTY, ONE HOUR PER MONTH NOT DURING MARKET HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Seth Howard Schwartz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Seth Howard Schwartz's 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®
NoneExperience
Current
May 9, 2017 - Present
KCD FINANCIAL, INC.
Office #2: 3061 Allied Street Suite B, Green Bay, WI 54304RIA
BD
CRD#: 127473
Cheyenne, WY
Current
June 24, 2010 - Present
KCD FINANCIAL, INC.
Office #1: 3061 Allied Street Suite B, Green Bay, WI 54304RIA
BD
CRD#: 127473
Green Bay, WI
Past
February 17, 2014 - June 30, 2014
CENTARA CAPITAL MANAGEMENT GROUP, INC.
RIA
CRD#: 114880
SAN DIEGO, CA
Past
April 27, 2010 - May 4, 2017
TURNER CAPITAL INVESTMENTS, LLC
RIA
CRD#: 146134
ENCINITAS, CA
Past
December 10, 2008 - June 23, 2010
WARNER BECK INCORPORATED
BD
CRD#: 11076
SAN DIEGO, CA
Past
March 9, 2006 - June 15, 2015
MADISON AVENUE ADVISORS, INC.
RIA
CRD#: 137461
SAN DIEGO, CA
Past
November 15, 2005 - August 6, 2008
MADISON AVENUE SECURITIES, LLC
BD
CRD#: 23224
SAN DIEGO, CA
Past
October 21, 2005 - November 18, 2005
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
SAN DIEGO, CA
Past
June 16, 2003 - October 21, 2005
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 125953
SAN DIEGO, CA
Past
March 20, 2003 - June 10, 2005
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
SAN DIEGO, CA
Past
April 22, 2002 - February 24, 2003
SPELMAN & CO., INC.
RIA
CRD#: 10232
SAN DIEGO, CA
Past
April 22, 2002 - February 24, 2003
SENTRA SECURITIES CORPORATION
RIA
CRD#: 10249
SAN DIEGO, CA
Past
April 5, 2002 - February 24, 2003
SUNAMERICA SECURITIES, INC.
RIA
CRD#: 20068
PHOENIX , AZ
Past
March 4, 2002 - February 24, 2003
SPELMAN & CO., INC.
BD
CRD#: 10232
PHOENIX, AZ
Past
March 2, 2002 - February 24, 2003
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
February 28, 2002 - February 24, 2003
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
August 1, 2000 - February 8, 2002
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
May 10, 1999 - July 13, 2000
JOHN G. KINNARD AND COMPANY, INCORPORATED
BD
CRD#: 466
MINNEAPOLIS, MN
Past
January 26, 1999 - May 6, 1999
CRI SECURITIES, LLC
BD
CRD#: 22589
ST. PAUL, MN
Past
January 26, 1999 - May 6, 1999
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
December 12, 1996 - September 14, 1998
DMG SECURITIES, INC.
BD
CRD#: 15480
GREAT FALLS, VA
Past
July 16, 1996 - September 14, 1998
JWGENESIS SECURITIES, INC.
BD
CRD#: 33832
BOCA RATON, FL
Past
May 17, 1996 - September 14, 1998
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
July 21, 1993 - May 9, 1994
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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".
KF
KCD FINANCIAL, INC.
A4 CAPITAL MANAGEMENT | WESTMONT FINANCIAL | WALLACE FINANCIALS | W. D. GUERRE & ASSOCIATES | VOGEL FINANCIAL SERVICES | TUTTLE FINANCIAL | THE WILLIAMS FINANCIAL GROUP | THE STEFFEN INVESTMENT CO., INC. | TABER FINANCIAL ADVISORS | SUN CITIES FINANCIAL GROUP | STRATEGIC ALLIANCE INVESTMENT ADVISORS, INC. | STEVENS INVESTMENT SERVICES | SENIOR RESOURCE CONSULTANTS | SCP CAPITAL MANAGEMENT | SCHUMACHER INVESTMENTS AND MORTGAGE FIRM | SAFE RETIREMENT ADVOCATES, LLC | SACKS GROUP, INC. | REALTY CAPITAL PARTNERS, LLC | R. L. DAIL INVESTMENTS LLC | R F FINANCIAL | PULSE FINANCIAL SERVICES | PAPPAS WEALTH MANAGEMENT | OAK BROOK BENEFIT RESOURCES | NICOLET INVESTMENT CENTER | MY ADVISOR FINANCIAL, INC | MIDWEST ADVANCED PLANNING GROUP | MAINSTREAM FINANCIAL | MACHTAN FINANCIAL SERVICES GROUP | LAWRENCE FINANCIAL SERVICES, LLC | KEATING AND ASSOCIATES | KCD FINANCIAL, INC. | K OATEN FINANCIAL GROUP | JEWELL FINANCIAL SERVICES, INC. | J G WEALTH MANAGEMENT | INTEGRITY RETIREMENT PLANS | INTEGRITY INVESTMENTS, INC. | INTEGER FINANCIAL SVS. | HOWELL & ASSOCIATES ADVANCED PLANNING LLC | HERITAGE BENEFITS | HARRIS FINANCIAL | H & B FINANCIAL GROUP, INC. | GUIDED FINANCIAL ADVISORS | GO GREAT LAKES FINANCIAL, INC. | FUTURE FINANCIAL | FIRST PLAN FINANCIAL SERVICES, LLC | FESS FINANCIAL | FAMILY FINANCIAL | ERIC WALTZ FINANCIAL SOLUTIONS, INC. | ELIASON INVESTMENTS | E TAX CORPORATION | DUNN FINANCIAL GROUP | DLR INVESTMENTS | DEWITT & DUNN | DDG WEALTH CONSULTANTS | CR FINANCIAL GROUP | CORNERSTONE FINANCIAL STRATEGIES | CHRISTOPHER C. FESS | CHOOSRI LAO FINANCIAL SERVICES | CHEN | CENTRAL FINANCIAL SERVICES OF MISSOURI, INC | CENTRAL FINANCIAL SERV OF MO, INC. | CENTRAL FINANCIAL LLC | BRADLE INVESTMENT GROUP | BORDE & ASSOCIATES PA | BENEFITS PLUS | BEACON FINANCIAL SERVICES | BAYSIDE WEALTH MANAGEMENT LLC | AVR FINANCIAL LLC | ARNHOLT INSURANCE AGENCY
CRD#: 127473 / SEC#: 801-110069, 8-66005
RIA
Registered Investment Advisory firm - SEC (3/16/2017 Approved)Arizona
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)California
Registered Investment Advisory firm - SEC (4/30/2017 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/7/2017 Terminated)Connecticut
Registered Investment Advisory firm - SEC (12/12/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/13/2011 Terminated)Illinois
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Indiana
Registered Investment Advisory firm - SEC (12/31/2007 Terminated)Kansas
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Maryland
Registered Investment Advisory firm - SEC (4/21/2017 Terminated)Michigan
Registered Investment Advisory firm - SEC (4/12/2017 Terminated)Minnesota
Registered Investment Advisory firm - SEC (4/3/2017 Terminated)Missouri
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Montana
Registered Investment Advisory firm - SEC (12/12/2011 Terminated)Nebraska
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)New Jersey
Registered Investment Advisory firm - SEC (4/27/2017 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Ohio
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Oregon
Registered Investment Advisory firm - SEC (6/14/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Utah
Registered Investment Advisory firm - SEC (11/23/2011 Terminated)Washington
Registered Investment Advisory firm - SEC (4/10/2017 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.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
IAR
California(5/9/2017)
RR
Wyoming(4/8/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/9/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KF
KCD FINANCIAL, INC.
A4 CAPITAL MANAGEMENT | WESTMONT FINANCIAL | WALLACE FINANCIALS | W. D. GUERRE & ASSOCIATES | VOGEL FINANCIAL SERVICES | TUTTLE FINANCIAL | THE WILLIAMS FINANCIAL GROUP | THE STEFFEN INVESTMENT CO., INC. | TABER FINANCIAL ADVISORS | SUN CITIES FINANCIAL GROUP | STRATEGIC ALLIANCE INVESTMENT ADVISORS, INC. | STEVENS INVESTMENT SERVICES | SENIOR RESOURCE CONSULTANTS | SCP CAPITAL MANAGEMENT | SCHUMACHER INVESTMENTS AND MORTGAGE FIRM | SAFE RETIREMENT ADVOCATES, LLC | SACKS GROUP, INC. | REALTY CAPITAL PARTNERS, LLC | R. L. DAIL INVESTMENTS LLC | R F FINANCIAL | PULSE FINANCIAL SERVICES | PAPPAS WEALTH MANAGEMENT | OAK BROOK BENEFIT RESOURCES | NICOLET INVESTMENT CENTER | MY ADVISOR FINANCIAL, INC | MIDWEST ADVANCED PLANNING GROUP | MAINSTREAM FINANCIAL | MACHTAN FINANCIAL SERVICES GROUP | LAWRENCE FINANCIAL SERVICES, LLC | KEATING AND ASSOCIATES | KCD FINANCIAL, INC. | K OATEN FINANCIAL GROUP | JEWELL FINANCIAL SERVICES, INC. | J G WEALTH MANAGEMENT | INTEGRITY RETIREMENT PLANS | INTEGRITY INVESTMENTS, INC. | INTEGER FINANCIAL SVS. | HOWELL & ASSOCIATES ADVANCED PLANNING LLC | HERITAGE BENEFITS | HARRIS FINANCIAL | H & B FINANCIAL GROUP, INC. | GUIDED FINANCIAL ADVISORS | GO GREAT LAKES FINANCIAL, INC. | FUTURE FINANCIAL | FIRST PLAN FINANCIAL SERVICES, LLC | FESS FINANCIAL | FAMILY FINANCIAL | ERIC WALTZ FINANCIAL SOLUTIONS, INC. | ELIASON INVESTMENTS | E TAX CORPORATION | DUNN FINANCIAL GROUP | DLR INVESTMENTS | DEWITT & DUNN | DDG WEALTH CONSULTANTS | CR FINANCIAL GROUP | CORNERSTONE FINANCIAL STRATEGIES | CHRISTOPHER C. FESS | CHOOSRI LAO FINANCIAL SERVICES | CHEN | CENTRAL FINANCIAL SERVICES OF MISSOURI, INC | CENTRAL FINANCIAL SERV OF MO, INC. | CENTRAL FINANCIAL LLC | BRADLE INVESTMENT GROUP | BORDE & ASSOCIATES PA | BENEFITS PLUS | BEACON FINANCIAL SERVICES | BAYSIDE WEALTH MANAGEMENT LLC | AVR FINANCIAL LLC | ARNHOLT INSURANCE AGENCY
CRD#: 127473 / SEC#: 801-110069, 8-66005
RIA
Registered Investment Advisory firm - SEC (3/16/2017 Approved)Arizona
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)California
Registered Investment Advisory firm - SEC (4/30/2017 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/7/2017 Terminated)Connecticut
Registered Investment Advisory firm - SEC (12/12/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/13/2011 Terminated)Illinois
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Indiana
Registered Investment Advisory firm - SEC (12/31/2007 Terminated)Kansas
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Maryland
Registered Investment Advisory firm - SEC (4/21/2017 Terminated)Michigan
Registered Investment Advisory firm - SEC (4/12/2017 Terminated)Minnesota
Registered Investment Advisory firm - SEC (4/3/2017 Terminated)Missouri
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Montana
Registered Investment Advisory firm - SEC (12/12/2011 Terminated)Nebraska
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)New Jersey
Registered Investment Advisory firm - SEC (4/27/2017 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Ohio
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Oregon
Registered Investment Advisory firm - SEC (6/14/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Utah
Registered Investment Advisory firm - SEC (11/23/2011 Terminated)Washington
Registered Investment Advisory firm - SEC (4/10/2017 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
3061 Allied Street Suite B, Green Bay, WI 54304
Mailing Address
3061 Allied Street Suite B, Green Bay, WI 54304
Phone number
(920) 347-3400
Established
Wisconsin since 05/19/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
28
SEC notice filing (28 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 697 |
| AUM (Assets Under Management) | $ 182,585,838 |
Disclosures
| Regulatory Event | 4 |
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.
