JC
Jeff Cantwell
SEAPORT GLOBAL SECURITIES LLC
Costa Mesa, CA 92626
Some features on this profile are disabled
CRD#: 5247214
JC
Professional summary
Jeff Cantwell, who also goes by Jeffrey B. Cantwell, Jeffrey Brian Cantwell, Jeffrey Cantwell, is a registered financial professional currently at SEAPORT GLOBAL SECURITIES LLC located in Costa Mesa, California.
Jeff is registered as a RR (Registered Representative) and started their career in finance in 2007. Jeff has worked at 5 firms and has passed the Series 63, Series 6TO, Series 82TO, Series 99TO, Series 22TO, SIE, Series 86, Series 87 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jeffrey B. Cantwell | Jeffrey Brian Cantwell | Jeffrey Cantwell
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.
CRS (Client Relationship Summary) - BD
Click below to view Jeff Cantwell's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 20, 2023 - Present
SEAPORT GLOBAL SECURITIES LLC
Office #1: 3090 Bristol Street Suite 400, Costa Mesa, CA 92626BD
CRD#: 116270
Costa Mesa, CA
Past
December 22, 2021 - September 28, 2023
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
Irvine, CA
Past
September 2, 2014 - December 22, 2021
GUGGENHEIM SECURITIES, LLC
BD
CRD#: 40638
NEW YORK, NY
Past
January 1, 2014 - August 19, 2014
TRUIST SECURITIES, INC.
BD
CRD#: 6271
NEW YORK, NY
Past
January 9, 2007 - February 18, 2009
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/20/2023)
RR
Alaska(9/20/2023)
RR
Arizona(9/20/2023)
RR
Arkansas(9/20/2023)
RR
California(9/20/2023)
RR
Colorado(9/20/2023)
RR
Connecticut(9/20/2023)
RR
Delaware(9/20/2023)
RR
District of Columbia(9/20/2023)
RR
Florida(9/20/2023)
RR
Georgia(9/20/2023)
RR
Hawaii(9/20/2023)
RR
Idaho(9/20/2023)
RR
Illinois(9/20/2023)
RR
Indiana(9/20/2023)
RR
Iowa(9/20/2023)
RR
Kansas(9/20/2023)
RR
Kentucky(9/20/2023)
RR
Louisiana(9/20/2023)
RR
Maine(9/20/2023)
RR
Maryland(9/20/2023)
RR
Massachusetts(9/20/2023)
RR
Michigan(9/20/2023)
RR
Minnesota(9/20/2023)
RR
Mississippi(9/20/2023)
RR
Missouri(9/20/2023)
RR
Montana(9/20/2023)
RR
Nebraska(9/20/2023)
RR
Nevada(9/20/2023)
RR
New Hampshire(9/20/2023)
RR
New Jersey(9/20/2023)
RR
New Mexico(9/20/2023)
RR
New York(9/20/2023)
RR
North Carolina(9/20/2023)
RR
North Dakota(9/20/2023)
RR
Ohio(9/21/2023)
RR
Oklahoma(9/20/2023)
RR
Oregon(9/20/2023)
RR
Pennsylvania(9/20/2023)
RR
Puerto Rico(9/20/2023)
RR
Rhode Island(9/20/2023)
RR
South Carolina(9/20/2023)
RR
South Dakota(9/20/2023)
RR
Tennessee(9/20/2023)
RR
Texas(9/20/2023)
RR
Utah(9/20/2023)
RR
Vermont(9/20/2023)
RR
Virginia(9/20/2023)
RR
Washington(9/20/2023)
RR
West Virginia(9/20/2023)
RR
Wisconsin(9/20/2023)
RR
Wyoming(9/20/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SG
SEAPORT GLOBAL SECURITIES LLC
GLOBAL HUNTER SECURITIES | THE SEAPORT GROUP | SP CREDIT DIRECT LLC | SEAPORT RESEARCH PARTNERS | SEAPORT GLOBAL SECURITIES LLC | SEAPORT GLOBAL | SEA PORT GROUP SECURITIES, LLC | SEA PORT GROUP SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
360 Madison Ave 22nd Floor, New York, NY 10017
Mailing Address
360 Madison Ave 22nd Floor, New York, NY 10017
Phone number
(212) 616-7700
Established
Delaware since 05/04/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
