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JS

Jeffrey K. Seeley

IM GLOBAL US DISTRIBUTORS LLC
El Segundo, CA 90245
Some features on this profile are disabled
CRD#: 2539223
JS

Professional summary

Jeffrey Kent Seeley is a registered financial professional currently at IM GLOBAL US DISTRIBUTORS LLC located in El Segundo, California.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1994. Jeffrey has worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Kent Seeley'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®
None

Experience

Current

October 9, 2019 - Present

IM GLOBAL US DISTRIBUTORS LLC

Office #1: 2301 Rosecrans Avenue Suite 2150, El Segundo, CA 90245Office #2: 2301 Rosecrans Avenue Suite 2150, El Segundo, CA 90245
BD
CRD#: 299892
El Segundo, CA
Past

August 10, 2018 - September 10, 2019

VIGILANT DISTRIBUTORS, LLC

BD
CRD#: 285573
Conshohocken, PA
Past

June 12, 2018 - July 20, 2018

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

March 6, 2017 - March 6, 2018

RESOURCE SECURITIES LLC

BD
CRD#: 133022
PHILADELPHIA, PA
Past

July 12, 2016 - January 13, 2017

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

July 15, 2002 - July 1, 2015

AMG DISTRIBUTORS, INC.

BD
CRD#: 27314
CONSHOHOCKEN, PA
Past

July 19, 1999 - May 4, 2005

BURRIDGE GROUP LLC

RIA
CRD#: 106416
CHICAGO, IL
Past

September 28, 1994 - April 4, 1995

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

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

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

RR
Alabama
(10/24/2019)
RR
Alaska
(11/6/2019)
RR
Arizona
(10/29/2019)
RR
Arkansas
(11/15/2019)
RR
California
(10/29/2019)
RR
Colorado
(11/7/2019)
RR
Connecticut
(11/4/2019)
RR
Delaware
(11/18/2019)
RR
District of Columbia
(10/30/2019)
RR
Florida
(12/4/2019)
RR
Georgia
(10/21/2019)
RR
Hawaii
(1/9/2020)
RR
Idaho
(10/15/2019)
RR
Illinois
(1/21/2020)
RR
Indiana
(11/8/2019)
RR
Iowa
(10/14/2019)
RR
Kansas
(1/2/2020)
RR
Kentucky
(10/14/2019)
RR
Louisiana
(11/27/2019)
RR
Maine
(12/13/2019)
RR
Maryland
(11/6/2019)
RR
Massachusetts
(12/3/2019)
RR
Michigan
(10/30/2019)
RR
Minnesota
(12/16/2019)
RR
Mississippi
(10/11/2019)
RR
Missouri
(11/7/2019)
RR
Montana
(1/6/2020)
RR
Nebraska
(2/3/2020)
RR
Nevada
(10/14/2019)
RR
New Hampshire
(11/19/2019)
RR
New Jersey
(11/6/2019)
RR
New Mexico
(1/9/2020)
RR
New York
(10/31/2019)
RR
North Carolina
(10/18/2019)
RR
North Dakota
(11/29/2019)
RR
Ohio
(10/28/2019)
RR
Oklahoma
(10/16/2019)
RR
Oregon
(11/8/2019)
RR
Pennsylvania
(10/11/2019)
RR
Puerto Rico
(1/14/2020)
RR
Rhode Island
(10/18/2019)
RR
South Carolina
(10/30/2019)
RR
South Dakota
(10/15/2019)
RR
Tennessee
(10/31/2019)
RR
Texas
(12/6/2019)
RR
Utah
(10/11/2019)
RR
Vermont
(11/6/2019)
RR
Virgin Islands
(8/4/2021)
RR
Virginia
(10/10/2019)
RR
Washington
(10/30/2019)
RR
West Virginia
(11/8/2019)
RR
Wisconsin
(11/15/2019)
RR
Wyoming
(1/17/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 6/21/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 9/26/2018
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 3/19/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/12/2002
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/31/2008
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

IG
IM GLOBAL US DISTRIBUTORS LLC
IM GLOBAL US DISTRIBUTORS LLC

CRD#: 299892 / SEC#: , 8-70266

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
2301 Rosecrans Avenue Suite 2150, El Segundo, CA 90245
Mailing Address
2301 Rosecrans Avenue Suite 2150, El Segundo, CA 90245
Phone number
(323) 238-4518
Established
Delaware since 12/05/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
IM GLOBAL PARTNER SASPARENT COMPANY
KELLY, JOSEPH PETER IICHIEF COMPLIANCE OFFICER6268052
SCARPATI, GERARDFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER2313132
SEELEY, JEFFREY KENTPRINCIPAL, CHIEF OPERATING OFFICER2539223

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.

Company Information

IM GLOBAL US DISTRIBUTORS LLC

CRD#: 299892El Segundo, CA 90245

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