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SL

Seth M. Lee

Some features on this profile are disabled
CRD#: 5132690
SL

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.

Seth Mathias Lee, CIMA®, who also goes by Seth Lee, was a registered financial professional .

Seth is a previously registered financial professional and started their career in finance in 2006. Seth had worked at 10 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Seth Lee

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CIMA®

Certified Investment Management Analyst

Experience

Past

June 28, 2023 - January 22, 2024

BAKER TILLY CAPITAL, LLC

BD
CRD#: 115333
Reno, NV
Past

May 24, 2022 - June 12, 2023

WEALTHFORGE SECURITIES, LLC

BD
CRD#: 152550
Aliso Viejo, CA
Past

September 9, 2019 - January 16, 2022

GROWTH CAPITAL SERVICES, INC.

RIA
CRD#: 124658
RENO, NV
Past

September 7, 2019 - January 16, 2022

GROWTH CAPITAL SERVICES, INC.

BD
CRD#: 124658
RENO, NV
Past

June 14, 2019 - August 6, 2019

WEALTHFORGE SECURITIES, LLC

BD
CRD#: 152550
San Francisco, CA
Past

February 14, 2018 - November 29, 2018

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
RENO, NV
Past

February 5, 2018 - November 29, 2018

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
RENO, NV
Past

September 27, 2017 - March 15, 2018

NIEMANN CAPITAL MANAGEMENT INC

RIA
CRD#: 106451
Carson City, NV
Past

May 4, 2017 - February 2, 2018

CORECAP INVESTMENTS, LLC

BD
CRD#: 37068
Reno, NV
Past

July 23, 2015 - November 21, 2016

MATRIX CAPITAL GROUP, INC.

BD
CRD#: 33364
Reno, NV
Past

September 27, 2013 - October 18, 2017

NAVELLIER & ASSOCIATES INC

RIA
CRD#: 107568
RENO, NV
Past

April 24, 2008 - September 30, 2011

SCOTTRADE, INC.

BD
CRD#: 8206
RENO, NV
Past

September 25, 2006 - April 23, 2008

WADDELL & REED

RIA
CRD#: 866
RENO, NV
Past

August 21, 2006 - April 23, 2008

WADDELL & REED

BD
CRD#: 866
RENO, NV

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/30/2018
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 9/22/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/9/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/16/2021
General Securities Principal Examination

Current Firm

BT
BAKER TILLY CAPITAL, LLC
BAKER TILLY CAPITAL | VIRCHOW KRAUSE CAPITAL, LLC | BAKER TILLY CAPITAL, LLC

CRD#: 115333 / SEC#: , 8-53480

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
4807 Innovate Lane, Madison, WI 53718
Mailing Address
Po Box 7398, Madison, WI 53707-7398
Phone number
(800) 362-7301
Established
Wisconsin since 09/22/1999
Firm type
Limited Liability Company
Fiscal year end
May
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BAKER TILLY ADVISORY GROUP, LPMANAGING MEMBER
INDA, TYLER RONALDPRESIDENT6478455
OLSON, BARBARA RCHIEF COMPLIANCE OFFICER6715742
STEWART, SCOTT ALEXANDERFINOP, POO, PFO6977422

Disclosures

Regulatory Event1

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.

Company Information

BAKER TILLY CAPITAL, LLC

CRD#: 115333

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