Ashish Seth
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.
Ashish Seth was a registered financial professional .
Ashish is a previously registered financial professional and started their career in finance in 2005. Ashish had worked at 6 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2023 - September 1, 2026
FINALIS SECURITIES LLC
March 15, 2021 - February 21, 2023
ARLINGTON CAPITAL SERVICES, LLC
February 3, 2016 - December 17, 2020
BMO CAPITAL MARKETS CORP.
January 27, 2014 - December 22, 2015
RBC CAPITAL MARKETS, LLC
April 30, 2010 - January 14, 2014
NATWEST MARKETS SECURITIES INC.
December 15, 2005 - November 1, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
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.
