Seth B. Jennings

ZACKS INVESTMENT MANAGEMENT

Riverview, FL

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CRD#: 5935749

Professional summary

Seth Broderick Jennings is a registered financial advisor currently at ZACKS INVESTMENT MANAGEMENT, INC. located in Riverview, Florida and LBMZ SECURITIES, INC. located in Chicago, Illinois.

Seth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Seth has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Lift Hero Apparel LLC. Not investment related. Address: Tampa, FL. Nature of business: Fitness apparel and gym gear. Position: Founder and Co-Owner Start 11/2/2020 Approximate hours a month: 20/hr per month 0 hours during trading hours Duties: Guide vision and trajectory of business, determine product line-up, website design, product design, order fulfillment.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seth Broderick Jennings's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 6, 2025 - Present

ZACKS INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 110897

Riverview, FL

Current

April 22, 2025 - Present

LBMZ SECURITIES, INC.

Office #1: 101 North Wacker Drive Suite 1500, Chicago, IL 60606

CRD#: 7874

CHICAGO, IL

Past

August 2, 2021 - March 4, 2025

FISHER INVESTMENTS

RIA

CRD#: 107342

Tampa, FL

Past

September 6, 2017 - November 24, 2020

CHARTWELL INVESTMENT PARTNERS, LLC

RIA

CRD#: 170335

Tampa, FL

Past

August 23, 2017 - November 24, 2020

CHARTWELL TSC SECURITIES CORP.

CRD#: 172196

PITTSBURGH, PA

Past

May 7, 2013 - July 31, 2017

EAGLE ASSET MANAGEMENT INC

RIA

CRD#: 110653

ST. PETERSBURG, FL

Past

November 22, 2012 - August 11, 2017

CARILLON FUND DISTRIBUTORS, INC.

CRD#: 139749

ST. PETERSBURG, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ZACKS INVESTMENT MANAGEMENT, INC.

CRD#: 110897 / SEC#: 801-40592

RIA

Registered Investment Advisory firm - (1/17/1992 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Florida
(4/22/2025)

IAR

Florida
(11/6/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/25/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/30/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/28/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/21/2012

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ZACKS INVESTMENT MANAGEMENT, INC.

CRD#: 110897 / SEC#: 801-40592

RIA

Registered Investment Advisory firm - (1/17/1992 Approved)

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Contact information

Main Address

101 N. Wacker Drive Suite 1500, Chicago, IL 60606

Mailing Address

Phone number

(312) 265-9266

Established

Firm type

Fiscal year end

# of Employees

122

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ZACKS ADV PART 2 & APPENDIX 1 05 2025 (5/29/2025)

Regulatory assets under management

Total Number of Accounts	12,050
AUM (Assets Under Management)	$ 12,414,372,511

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.

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Advisor Monitoring

Firm Stability Insights

Seth B. Jennings

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seth Broderick Jennings's CRS (Customer Relationship Summary).

Certified licenses

Experience

LBMZ SECURITIES, INC.

FISHER INVESTMENTS

CHARTWELL INVESTMENT PARTNERS, LLC

CHARTWELL TSC SECURITIES CORP.

EAGLE ASSET MANAGEMENT INC

CARILLON FUND DISTRIBUTORS, INC.

Primary Firm SEC Registration

ZACKS INVESTMENT MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/25/2013

Series 63

Date: 3/30/2012

Series 7TO

Date: 5/28/2024

SIE

Date: 10/1/2018

Series 7

Date: 11/21/2012

FINRA

Current Firm

ZACKS INVESTMENT MANAGEMENT, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ZACKS INVESTMENT MANAGEMENT, INC.

TRUST BUT VERIFY

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