Neil A. 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.
Neil Arun Seth was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1998. Neil had worked at 7 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2014 - June 20, 2014
G-2 TRADING,LLC
December 20, 2012 - January 21, 2014
AVATAR SECURITIES, LLC
October 3, 2011 - January 2, 2013
MERUS CAPITAL PARTNERS, LLC
August 20, 2007 - July 19, 2011
G-2 TRADING,LLC
May 24, 2007 - August 7, 2007
NATIXIS SECURITIES NORTH AMERICA INC.
October 26, 2004 - January 3, 2005
COMMERZBANK CAPITAL MARKETS CORP.
September 20, 1999 - December 19, 2003
LIGHTSPEED PROFESSIONAL TRADING LLC
September 23, 1998 - June 3, 1999
HEARTLAND SECURITIES 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
Exams
Series 55
Date: 11/23/1999
Limited Representative-Equity Trader ExamCurrent Firm
G-2 TRADING,LLC
CRD#: 44018 / SEC#: , 8-50510
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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