Atul Sethi
Professional summary
Atul Sethi is a registered financial advisor currently at MOORING BAY CAPITAL MANAGEMENT located in Dallas, Texas.
Atul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Atul has worked at 3 firms and has passed the Series 66, Series 63, Series 50, Series 52TO, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Atul Sethi's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 9, 2024 - Present
MOORING BAY CAPITAL MANAGEMENT
Office #1: 6440 N Central Expy Suite 900-b, Dallas, TX 75206-4123September 20, 2021 - May 19, 2023
ESTRADA HINOJOSA & COMPANY, INC.
January 20, 2005 - July 10, 2009
BANC OF AMERICA SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/9/2024)
Exams
Series 52TO
Date: 10/4/2021
Municipal Securities Representative ExaminationSeries 7TO
Date: 9/20/2021
General Securities Representative ExaminationCurrent Firm
MOORING BAY CAPITAL MANAGEMENT
CRD#: 325837 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 6,356,550 |
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Company Information
MOORING BAY CAPITAL MANAGEMENT
CRD#: 325837Dallas, TX 75206-4123TRUST BUT VERIFY
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