Seth B. Wolkoff
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.
Seth Brian Wolkoff, who also goes by Seth Wolkoff, was a registered financial professional .
Seth is a previously registered financial professional and started their career in finance in 1996. Seth had worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2019 - October 27, 2023
GTS SECURITIES LLC
February 27, 2017 - May 20, 2019
CANTOR FITZGERALD & CO.
July 2, 2012 - December 13, 2016
VIRTU AMERICAS LLC
September 29, 1998 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
June 26, 1996 - April 4, 1997
DALTON KENT SECURITIES GROUP, INC.
February 6, 1996 - July 2, 1996
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/13/1998
Limited Representative-Equity Trader ExamCurrent Firm
GTS SECURITIES LLC
CRD#: 149224 / SEC#: , 8-68126
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GTS FINANCIAL LLC | HOLDING COMPANY/CLASS A MEMBER | |
| GILLETTE, CHARLES P | TRADING AND MARKETS CHIEF COMPLIANCE OFFICER | 3174027 |
| NAZEM, DARIUSH | CHIEF OPERATING OFFICER | 4930821 |
| ROMANELLO, PATRICK JOSEPH | CORE BROKER DEALER CHIEF COMPLIANCE OFFICER | 5378090 |
| RUBENSTEIN, ARI M | CO-FOUNDER AND CHIEF EXECUTIVE OFFICER | 4134798 |
| TIRIOLO, CHRISTIAN JOHN | FINOP, CHIEF FINANCIAL OFFICER, CHIEF OPERATIONS OFFICER | 3063877 |
Disclosures
| Regulatory Event | 38 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
