Seth D. Botone
Professional summary
Seth Delos Botone was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Seth is a previously registered financial professional and started their career in finance in 2003. Prior to being barred, Seth had worked at 4 firms, which includes CAC CAPITAL CORP, BARRON MOORE INC., RICHMARK CAPITAL CORPORATION, TREASURE FINANCIAL CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2005 - December 19, 2005
CAC CAPITAL CORP
November 18, 2003 - April 8, 2005
BARRON MOORE, INC.
October 17, 2003 - December 4, 2003
RICHMARK CAPITAL CORPORATION
September 25, 2003 - October 13, 2003
TREASURE FINANCIAL CORP.
State Registrations and Notice Filings
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Exams
Current Firm
CAC CAPITAL CORP
CRD#: 15396 / SEC#: , 8-32108
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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