Seth C. Gollin
Professional summary
Seth Craig Gollin is a registered financial professional currently at BTIG, LLC located in New York, New York.
Seth is registered as a RR (Registered Representative) and started their career in finance in 1997. Seth has worked at 5 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) - BD
Click below to view Seth Craig Gollin's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 5, 2009 - Present
BTIG, LLC
Office #1: Park Avenue Tower 65 East 55th Street, New York, NY 10022October 1, 2008 - December 18, 2008
J.P. MORGAN SECURITIES LLC
June 2, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
June 22, 2004 - June 2, 2008
J.P. MORGAN SECURITIES LLC
January 31, 2003 - April 30, 2004
UBS CAPITAL MARKETS L.P.
October 17, 1997 - January 10, 2003
CIBC WORLD MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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(6/24/2010)
(11/12/2013)
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Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/31/2003
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
MEMX LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
Red Flags
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