Seth B. Hanau
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 Bernard Hanau, who also goes by Seth B Hanau, was a registered financial professional .
Seth is a previously registered financial professional and started their career in finance in 1996. Seth had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2021 - December 31, 2021
HOLOS ASSET MANAGEMENT
March 2, 2007 - December 31, 2020
HOLOS ASSET MANAGEMENT
April 27, 2006 - June 8, 2006
SCHONFELD SECURITIES, LLC
January 16, 1997 - December 13, 2000
FIRST NEW YORK SECURITIES L.L.C.
February 15, 1996 - December 27, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Series 55
Date: 4/20/2000
Limited Representative-Equity Trader ExamCurrent Firm
HOLOS ASSET MANAGEMENT
CRD#: 142952 / SEC#:
Contact information
Red Flags
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