Audrey F. Seybert
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.
Audrey F Seybert, who also goes by Audrey Francis Seybert, was a registered financial professional .
Audrey is a previously registered financial professional and started their career in finance in 2007. Audrey had worked at 5 firms and has passed the Series 63, Series 7TO, SIE 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
September 30, 2024 - June 16, 2025
MORNINGSTAR INVESTMENT SERVICES LLC
September 14, 2022 - July 31, 2023
CAIS CAPITAL LLC
January 10, 2020 - August 17, 2022
BNY MELLON SECURITIES CORPORATION
April 9, 2009 - October 1, 2009
MIRAE ASSET WEALTH MANAGEMENT (USA) INC.
May 14, 2007 - June 29, 2007
CITIGROUP GLOBAL MARKETS INC.
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 7TO
Date: 1/10/2020
General Securities Representative ExaminationCurrent Firm
MORNINGSTAR INVESTMENT SERVICES LLC
CRD#: 112525 / SEC#: 801-60401, 8-53593
Contact information
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/14/2025 | ||
| 08/20/2024 | ||
| 09/28/2023 |
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.
