Rory B. Seek
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.
Rory Bradford Seek was a registered financial professional .
Rory is a previously registered financial professional and started their career in finance in 1996. Rory had worked at 4 firms and has passed the Series 63, Series 7, Series 62 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2002 - November 19, 2002
WFG INVESTMENTS, INC.
October 26, 2001 - August 30, 2002
SCHNEIDER SECURITIES, INC.
June 22, 2001 - October 29, 2001
BROOKSTREET SECURITIES CORPORATION
August 22, 1996 - June 19, 2001
LADENBURG CAPITAL MANAGEMENT INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 62
Date: 8/21/1996
Corporate Securities Limited Representative ExaminationCurrent Firm
WFG INVESTMENTS, INC.
CRD#: 22704 / SEC#: , 8-39928
Contact information
Documents
Disclosures
| Regulatory Event | 23 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
