SR
Seth D. Rubin
STIFEL, NICOLAUS & COMPANY
New York, NY 10019
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CRD#: 2672487
SR
Professional summary
Seth David Rubin is a registered financial professional currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in New York, New York and KEEFE, BRUYETTE & WOODS, INC. located in San Francisco, California.
Seth is registered as a RR (Registered Representative) and started their career in finance in 1996. Seth has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Seth David Rubin'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
July 10, 2010 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 787 7th Avenue, New York, NY 10019Office #2: 1201 Wills Street Suite 600, Baltimore, MD 21231Office #3: One Montgomery Street Suites 3300 3500, 3600, & 3700, San Francisco, CA, 94104RIA
BD
CRD#: 793
New York, NY
Current
May 2, 2024 - Present
KEEFE, BRUYETTE & WOODS, INC.
Office #1: 1 Montgomery Street Suite 3700 And Suite 3500, San Francisco, CA 94104BD
CRD#: 481
San Francisco, CA
Past
April 13, 2005 - July 20, 2010
THOMAS WEISEL PARTNERS LLC
BD
CRD#: 46237
SAN FRANCISCO, CA
Past
April 30, 2003 - April 4, 2005
WELLS FARGO SECURITIES, LLC
BD
CRD#: 7665
SAN FRANCISCO, CA
Past
June 7, 1999 - February 14, 2003
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
July 1, 1998 - June 7, 1999
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
Past
September 11, 1996 - April 15, 1998
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
May 28, 1996 - August 7, 1996
SPP HAMBRO & CO., INCORPORATED
BD
CRD#: 14821
NEW YORK, NY
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(7/10/2010)
RR
Alaska(7/10/2010)
RR
Arizona(7/10/2010)
RR
Arkansas(7/10/2010)
RR
California(7/10/2010)
RR
Colorado(7/10/2010)
RR
Connecticut(7/10/2010)
RR
Delaware(7/10/2010)
RR
District of Columbia(7/10/2010)
RR
Florida(7/10/2010)
RR
Georgia(7/10/2010)
RR
Hawaii(7/10/2010)
RR
Idaho(7/10/2010)
RR
Illinois(7/10/2010)
RR
Indiana(7/10/2010)
RR
Iowa(7/10/2010)
RR
Kansas(7/10/2010)
RR
Kentucky(7/10/2010)
RR
Louisiana(7/10/2010)
RR
Maine(7/10/2010)
RR
Maryland(7/10/2010)
RR
Massachusetts(7/10/2010)
RR
Michigan(7/10/2010)
RR
Minnesota(7/10/2010)
RR
Mississippi(7/10/2010)
RR
Missouri(7/10/2010)
RR
Montana(7/10/2010)
RR
Nebraska(7/10/2010)
RR
Nevada(7/10/2010)
RR
New Hampshire(7/10/2010)
RR
New Jersey(7/10/2010)
RR
New Mexico(7/10/2010)
RR
New York(7/10/2010)
RR
North Carolina(7/10/2010)
RR
North Dakota(7/10/2010)
RR
Ohio(7/10/2010)
RR
Oklahoma(7/10/2010)
RR
Oregon(7/10/2010)
RR
Pennsylvania(7/10/2010)
RR
Puerto Rico(7/10/2010)
RR
Rhode Island(7/10/2010)
RR
South Carolina(7/10/2010)
RR
South Dakota(7/10/2010)
RR
Tennessee(7/10/2010)
RR
Texas(7/10/2010)
RR
Utah(7/10/2010)
RR
Vermont(7/10/2010)
RR
Virgin Islands(7/10/2010)
RR
Virginia(7/10/2010)
RR
Washington(7/10/2010)
RR
West Virginia(7/10/2010)
RR
Wisconsin(7/10/2010)
RR
Wyoming(7/10/2010)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
KEEFE, BRUYETTE & WOODS, INC.
KEEFE, BRUYETTE & WOODS, INC.
CRD#: 481 / SEC#: , 8-10888
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
787 7th Avenue, New York, NY 10019
Mailing Address
787 7th Avenue 4th Floor, New York, NY 10019
Phone number
(212) 887-7777
Established
New York since 06/11/1962
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KBW, LLC | LIMITED LIABILITTY CORPORATION | |
| ANDERSON, SCOTT RANDALL | DIRECTOR | 2154345 |
| BERRY, JOSEPH SCOTT | DIRECTOR | 2868513 |
| DAVIS, ERICKSON P | DIRECTOR | 4974063 |
| FISHER, MARK | GENERAL COUNSEL | 4970942 |
| GRANT, ROBERT J | DIRECTOR | 4861012 |
| JOHNSTONE, MARY | CHIEF COMPLIANCE OFFICER | 1170408 |
| KELLEY, MATTHEW | DIRECTOR | 5330646 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| MICHAUD, THOMAS BEAULIEU | CHIEF EXECUTIVE OFFICER, CHAIRMAN AND PRESIDENT | 1672278 |
| SMITH, RICHARD WILLIAM | PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | 1333488 |
| WIRTH, PETER JOHN | DIRECTOR | 1623159 |
Disclosures
| Regulatory Event | 17 |
| Bond | 1 |
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.
