Seth D. Strickland
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.
Seth Devore Strickland was a registered financial professional .
Seth is a previously registered financial professional and started their career in finance in 1972. Seth had worked at 7 firms and has passed the Series 63, SIE, Series 82, Series 000, Series 1 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
April 9, 2008 - March 27, 2020
MONITOR CAPITAL LLC
January 10, 2005 - April 23, 2008
MONITOR CAPITAL INC.
May 5, 2003 - October 22, 2004
INDIAN HARBOR, LLC
July 31, 1993 - June 6, 1995
CITIGROUP GLOBAL MARKETS INC.
February 13, 1984 - July 31, 1993
LEHMAN BROTHERS INC.
August 9, 1973 - April 30, 1977
SCHRODER & CO. INC.
February 14, 1972 - August 12, 1973
UBS ASSET MANAGEMENT (US) INC.
February 10, 1972 - February 15, 1984
CITIGROUP GLOBAL MARKETS INC.
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 000
Date: 2/10/1972
General Securities Principal ExaminationSeries 1
Date: 2/10/1972
Registered Representative ExaminationCurrent Firm
MONITOR CAPITAL LLC
CRD#: 146087 / SEC#: , 8-67782
Contact information
FINRA licenses (1 States and Territories)
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.
