Elwood Seaman
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.
Elwood Seaman was a registered financial professional .
Elwood is a previously registered financial professional and started their career in finance in 2003. Elwood had worked at 13 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2020 - April 9, 2021
CAPE SECURITIES INC.
October 2, 2017 - November 28, 2018
ALLIED MILLENNIAL PARTNERS, LLC
January 4, 2017 - February 22, 2017
CAPE SECURITIES INC.
October 20, 2014 - October 9, 2015
NATIONAL SECURITIES CORPORATION
January 16, 2013 - October 8, 2014
CAPE INVESTMENT ADVISORY, INC.
October 10, 2012 - October 8, 2014
CAPE SECURITIES INC.
June 13, 2012 - October 8, 2012
JOSEPH GUNNAR & CO. LLC
August 1, 2011 - June 13, 2012
NATIONAL SECURITIES CORPORATION
June 23, 2011 - July 15, 2011
CHARLES VISTA LLC
February 28, 2011 - June 23, 2011
MAXIM GROUP LLC
January 4, 2011 - February 14, 2011
JOSEPH GUNNAR & CO. LLC
January 3, 2011 - February 14, 2011
JOSEPH GUNNAR & CO. LLC
March 17, 2010 - December 31, 2010
WHITE PACIFIC SECURITIES, INC.
May 11, 2006 - November 4, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 4, 2006 - November 4, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 11, 2005 - July 19, 2005
MORGAN STANLEY DW INC.
February 11, 2005 - July 19, 2005
MORGAN STANLEY DW INC.
July 16, 2004 - September 2, 2004
WELLS FARGO INVESTMENTS, LLC
April 5, 2004 - September 2, 2004
WELLS FARGO INVESTMENTS, LLC
September 24, 2003 - October 24, 2003
IDS LIFE INSURANCE COMPANY
September 24, 2003 - October 24, 2003
AMERIPRISE FINANCIAL SERVICES, 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
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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