Sandesh C. Seth
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.
Sandesh Caius Seth was a registered financial professional .
Sandesh is a previously registered financial professional and started their career in finance in 1998. Sandesh had worked at 7 firms and has passed the Series 63, SIE 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
April 12, 2011 - July 29, 2015
LAIDLAW & COMPANY (UK) LTD.
November 5, 2009 - April 12, 2011
SOUTHRIDGE INVESTMENT GROUP LLC
November 7, 2006 - September 9, 2009
AMERICAN UNION SECURITIES, INC.
May 9, 2006 - October 10, 2006
TAFFERER TRADING, LLC
September 29, 2000 - August 20, 2004
COWEN AND COMPANY
August 7, 1998 - October 4, 2000
J.P. MORGAN SECURITIES LLC
January 23, 1998 - June 19, 1998
COMMONWEALTH ASSOCIATES
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
LAIDLAW & COMPANY (UK) LTD.
CRD#: 119037 / SEC#: , 8-53731
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
Red Flags
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