Seth J. Wasserman
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 Jason Wasserman was a registered financial professional .
Seth is a previously registered financial professional and started their career in finance in 2004. Seth had worked at 8 firms and has passed the 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
July 21, 2017 - August 24, 2018
PACIFIC SELECT DISTRIBUTORS, LLC
May 4, 2012 - September 21, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 10, 2011 - March 2, 2012
ALLSTATE FINANCIAL SERVICES, LLC
September 28, 2010 - October 3, 2011
NEW ENGLAND SECURITIES
January 23, 2008 - September 27, 2010
P.J. ROBB VARIABLE, LLC
June 27, 2007 - December 31, 2007
UNDERWRITERS EQUITY CORPORATION
February 6, 2006 - May 23, 2007
AFA FINANCIAL GROUP, LLC
June 9, 2005 - September 20, 2005
ALLSTATE FINANCIAL SERVICES, LLC
February 13, 2004 - March 11, 2005
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
PACIFIC SELECT DISTRIBUTORS, LLC
CRD#: 4452 / SEC#: , 8-15264
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC LIFE INSURANCE COMPANY | PARENT OF APPLICANT | |
| DARE, BARBARA ALYCE | VICE PRESIDENT | 5074108 |
| KISSEL, GEOFFREY P | CHIEF EXECUTIVE OFFICER | 7499710 |
| LA ROQUE, SUZANNE MARIE | ASSISTANT VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 4222767 |
| SMITH, TREVOR TIMOTHY | VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATING OFFICER | 4844953 |
| YAMAUCHI, STARLA CHIN | VICE PRESIDENT, CORPORATE SECRETARY | 7721024 |
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.
