Roy R. Seaton
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.
Roy Ray Seaton was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1970. Roy had worked at 9 firms and has passed the Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 1985 - December 31, 1994
GENERAL SECURITIES CORP
April 18, 1984 - March 5, 1985
SOURCE SECURITIES, INC.
July 28, 1983 - March 22, 1984
SOURCE SECURITIES, INC.
March 28, 1983 - May 31, 1983
LOWELL H. LISTROM & COMPANY INC.
February 26, 1979 - July 8, 1980
CVR FINANCIAL CORPORATION OF AMERICA, INC.
April 6, 1977 - November 23, 1978
INDEPENDENT FINANCIAL PLANNERS CORPORATION
September 23, 1975 - March 31, 1977
ECONOMIC RESEARCH ANALYSTS, INC.
July 8, 1975 - October 11, 1975
WZW FINANCIAL SERVICES, INC.
May 10, 1974 - July 25, 1975
INTERNATIONAL SECURITIES CORP.
January 8, 1970 - June 14, 1974
FINANCIAL SERVICE CORPORATION OF AMERICA
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 1
Date: 9/3/1968
Registered Representative ExaminationSeries 40
Date: 9/26/1977
Registered Principal ExaminationCurrent Firm
GENERAL SECURITIES CORP
CRD#: 15062 / SEC#: , 8-31654
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAVING STREET CHILDREN INC | PRIVATE NON-PROFIT FOUNDATION | |
| MILLER, DAVID SCHUMWAY | PRESIDENT/CCO | 334607 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
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.
