Karl J. Seebacher
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.
Karl James Seebacher was a registered financial professional .
Karl is a previously registered financial professional and started their career in finance in 1993. Karl had worked at 4 firms and has passed the Series 66, Series 63, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2012 - November 15, 2012
ROSS, SINCLAIRE & ASSOCIATES, LLC
June 23, 2003 - March 31, 2011
PARK AVENUE SECURITIES LLC
January 6, 2000 - March 31, 2011
PARK AVENUE SECURITIES LLC
May 15, 1996 - November 26, 1999
CETERA WEALTH SERVICES, LLC
October 11, 1993 - May 20, 1996
EQUITY SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ROSS, SINCLAIRE & ASSOCIATES, LLC
CRD#: 25440 / SEC#: 801-78513, 8-41740
Contact information
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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