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AT

Adam J. Templeton

SEAPORT GLOBAL SECURITIES LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 3233122
AT

Professional summary

Adam Joseph Templeton is a registered financial professional currently at SEAPORT GLOBAL SECURITIES LLC located in New York, New York.

Adam is registered as a RR (Registered Representative) and started their career in finance in 1999. Adam has worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Adam Joseph Templeton's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 3, 2019 - Present

SEAPORT GLOBAL SECURITIES LLC

Office #1: 360 Madison Avenue 22nd Floor, New York, NY, 10017
BD
CRD#: 116270
New York, NY
Past

April 4, 2013 - June 21, 2019

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
NEW YORK, NY
Past

July 2, 2012 - April 8, 2013

VIRTU AMERICAS LLC

BD
CRD#: 149823
JERSEY CITY, NJ
Past

January 19, 2010 - July 2, 2012

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
JERSEY CITY, NJ
Past

April 10, 2008 - September 1, 2008

NEWEDGE FINANCIAL INC.

BD
CRD#: 27322
NEW YORK, NY
Past

January 7, 2008 - January 28, 2010

NEWEDGE USA, LLC

BD
CRD#: 36118
NEW YORK, NY
Past

April 5, 2006 - January 23, 2008

PALI CAPITAL, INC.

BD
CRD#: 117783
NEW YORK, NY
Past

February 17, 2000 - August 9, 2001

WALL STREET ACCESS

BD
CRD#: 10012
NEW YORK, NY
Past

September 1, 1999 - February 28, 2000

A.B. WATLEY, INC.

BD
CRD#: 797
NEW YORK, NY
Past

June 4, 1999 - September 10, 1999

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(7/3/2019)
RR
Alaska
(7/3/2019)
RR
Arizona
(7/3/2019)
RR
Arkansas
(7/3/2019)
RR
California
(7/3/2019)
RR
Colorado
(7/3/2019)
RR
Connecticut
(7/3/2019)
RR
Delaware
(7/3/2019)
RR
District of Columbia
(7/3/2019)
RR
Florida
(7/3/2019)
RR
Georgia
(7/3/2019)
RR
Hawaii
(7/3/2019)
RR
Idaho
(7/3/2019)
RR
Illinois
(7/3/2019)
RR
Indiana
(7/3/2019)
RR
Iowa
(7/3/2019)
RR
Kansas
(7/3/2019)
RR
Kentucky
(7/3/2019)
RR
Louisiana
(7/3/2019)
RR
Maine
(7/3/2019)
RR
Maryland
(7/3/2019)
RR
Massachusetts
(7/3/2019)
RR
Michigan
(7/3/2019)
RR
Minnesota
(7/3/2019)
RR
Mississippi
(7/3/2019)
RR
Missouri
(7/3/2019)
RR
Montana
(7/3/2019)
RR
Nebraska
(7/3/2019)
RR
Nevada
(7/3/2019)
RR
New Hampshire
(7/3/2019)
RR
New Jersey
(7/3/2019)
RR
New Mexico
(7/3/2019)
RR
New York
(7/3/2019)
RR
North Carolina
(7/3/2019)
RR
North Dakota
(7/3/2019)
RR
Ohio
(7/3/2019)
RR
Oklahoma
(7/3/2019)
RR
Oregon
(7/3/2019)
RR
Pennsylvania
(7/3/2019)
RR
Puerto Rico
(7/3/2019)
RR
Rhode Island
(7/3/2019)
RR
South Carolina
(7/3/2019)
RR
South Dakota
(7/3/2019)
RR
Tennessee
(7/3/2019)
RR
Texas
(7/3/2019)
RR
Utah
(7/3/2019)
RR
Vermont
(7/3/2019)
RR
Virginia
(7/3/2019)
RR
Washington
(7/3/2019)
RR
West Virginia
(7/3/2019)
RR
Wisconsin
(7/3/2019)
RR
Wyoming
(7/3/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 4/10/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 2/19/2009
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/4/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/6/2012
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/10/2009
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SG
SEAPORT GLOBAL SECURITIES LLC
GLOBAL HUNTER SECURITIES | THE SEAPORT GROUP | SP CREDIT DIRECT LLC | SEAPORT RESEARCH PARTNERS | SEAPORT GLOBAL SECURITIES LLC | SEAPORT GLOBAL | SEA PORT GROUP SECURITIES, LLC | SEA PORT GROUP SECURITIES LLC

CRD#: 116270 / SEC#: , 8-53535

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
360 Madison Ave 22nd Floor, New York, NY 10017
Mailing Address
360 Madison Ave 22nd Floor, New York, NY 10017
Phone number
(212) 616-7700
Established
Delaware since 05/04/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SEAPORT GLOBAL HOLDINGS LLCPARENT COMPANY
MEAGHER, MICHAEL JEFFERSONCEO1755168
MEYER, MICHAEL JOHNFIXED INCOME TRADING SUPERVISOR1746788
SMITH, STEPHEN CORCORANTREASURER1248750
WITTHAUT, MARKUS CLEMENSFINOP/CCO/CFO/PFO4480831

Disclosures

Regulatory Event3

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.

Company Information

SEAPORT GLOBAL SECURITIES LLC

CRD#: 116270New York, NY 10017

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