Ashish Seth
Professional summary
Ashish Seth is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Ashish is registered as a RR (Registered Representative) and started their career in finance in 2005. Ashish has worked at 6 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ashish Seth's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 14, 2023 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003March 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
(3/14/2023)
(2/21/2025)
(9/23/2024)
(6/5/2025)
(4/26/2023)
(3/14/2025)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
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