Seth A. Stuart
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 Adam Stuart was a registered financial professional .
Seth is a previously registered financial professional and started their career in finance in 1997. Seth had worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2023 - February 8, 2024
FORESIDE FINANCIAL SERVICES, LLC
May 17, 2021 - November 21, 2022
REALBLOCKS PRIVATE SECURITIES, INC.
January 19, 2010 - December 10, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 19, 2010 - April 20, 2021
TD AMERITRADE, INC.
January 12, 2010 - April 20, 2021
TD AMERITRADE, INC.
July 13, 2009 - November 2, 2009
AST INVESTMENT SERVICES, INC.
July 13, 2009 - October 27, 2009
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
June 6, 2006 - December 12, 2008
CLEARBRIDGE INVESTMENTS, LLC
June 6, 2006 - December 12, 2008
FRANKLIN DISTRIBUTORS, LLC
February 25, 2005 - May 10, 2006
MORGAN STANLEY DW INC.
February 25, 2005 - May 10, 2006
MORGAN STANLEY DW INC.
July 8, 2004 - February 23, 2005
MSI FINANCIAL SERVICES, INC.
May 18, 2004 - February 23, 2005
WALNUT STREET SECURITIES, INC.
May 18, 2004 - February 23, 2005
NEW ENGLAND SECURITIES
February 9, 2002 - February 23, 2005
METROPOLITAN LIFE INSURANCE COMPANY
February 9, 2002 - February 23, 2005
MSI FINANCIAL SERVICES, INC.
January 12, 2000 - August 28, 2001
FIRST FUND DISTRIBUTORS, INC.
July 13, 1998 - July 30, 1999
BNY MELLON SECURITIES CORPORATION
November 28, 1997 - August 7, 1998
PRUCO SECURITIES, 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
Current Firm
FORESIDE FINANCIAL SERVICES, LLC
CRD#: 148477 / SEC#: , 8-68027
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
