Seth B. Richardson
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 Bernard Richardson, who also goes by Seth B Richardson, Seth Richardson, was a registered financial professional .
Seth is a previously registered financial professional and started their career in finance in 2003. Seth had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2021 - May 10, 2024
PELICAN INVESTMENT ADVISORS, LLC
July 5, 2018 - December 14, 2018
CETERA ADVISORS LLC
July 5, 2018 - December 14, 2018
CETERA ADVISORS LLC
September 12, 2017 - July 12, 2018
ONEAMERICA SECURITIES, INC.
September 1, 2017 - July 12, 2018
ONEAMERICA SECURITIES, INC.
July 13, 2006 - January 17, 2017
EAGLE STRATEGIES LLC
February 26, 2003 - January 17, 2017
NYLIFE SECURITIES LLC
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
PELICAN INVESTMENT ADVISORS, LLC
CRD#: 313227 / SEC#: 801-120649
Contact information
Regulatory assets under management
| Total Number of Accounts | 211 |
| AUM (Assets Under Management) | $ 72,510,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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