Adam B. Seltzer
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.
Adam Benjamin Seltzer was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2006. Adam had worked at 6 firms and has passed the Series 66, SIE, Series 79 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
April 2, 2014 - December 15, 2016
FIRST LIBERTIES FINANCIAL
September 4, 2012 - June 28, 2013
DOMINICK & DICKERMAN LLC
January 26, 2011 - September 4, 2012
MERRIMAN CAPITAL, INC.
November 3, 2008 - July 12, 2010
SANDERS MORRIS LLC
November 3, 2008 - July 12, 2010
SANDERS MORRIS LLC
May 16, 2008 - November 3, 2008
QA3 FINANCIAL LLC
May 16, 2008 - November 3, 2008
QA3 FINANCIAL CORP.
August 15, 2006 - December 31, 2006
QA3 FINANCIAL CORP.
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
Current Firm
FIRST LIBERTIES FINANCIAL
CRD#: 14432 / SEC#: , 8-30673
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PELION FINANCIAL GROUP, INC. | OWNER | |
| BERGMAN, HILARY GUY | DIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER | 1834738 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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