Eric William Seeley
Professional Summary
Eric William Seeley, who also goes by Erik William Seeley, is a registered financial advisor currently at D & D SECURITIES, INC. located in Philadelphia, Pennsylvania. Eric is registered as a RR (Registered Representative) and started their career in finance in 2007. Eric has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Erik William Seeley
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
19 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
D & D SECURITIES, INC. | D AND D SECURITIES
Contact Information
Main Address
2929 Walnut Street 8th Floor, Philadelphia, PA 19104Mailing Address
703 North Jerome Avenue, Margate City, NJ 08402Phone Number
(609) 226-7672Established
Pennsylvania since 02/19/1991Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 2007About the Series 6 examSRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Eric William Seeley's CRS (Customer Relationship Summary).
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