Seth Surface

NORTH FORK FINANCIAL

Hutchinson, KS 67501

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CRD#: 7252492

Professional summary

Seth Surface, who also goes by Seth Matthew Surface, is a registered financial advisor currently at NORTH FORK FINANCIAL, LLC located in Hutchinson, Kansas.

Seth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Seth has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Seth Matthew Surface

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.

1). Seth Surface Insurance Sales; 16 W 4th Avenue, Suite A, Huchinson, KS 67501; yes investment related; agent; 04/01/2020-present; 80 Hours/Month (40 during securities trading hours). Life disability, LTC and annuity products. 1) Seth Surface, KSHSAA Official; Non-investment related; 125 W Cooper St, Sterling, KS 67579; Officiating High School Football; Back Judge - Football Official; Start Date 09.01.2023; 8 Hours/Month; 0 Hours/Month during securities trading hours; Apart of crew that officiates varsity football games on Friday evenings in the months of September and October.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seth Surface'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

September 1, 2021 - Present

NORTH FORK FINANCIAL, LLC

Office #1: 16 W. 4th Ave. Suite A, Hutchinson, KS 67501

RIA

CRD#: 316152

Hutchinson, KS

Past

August 25, 2020 - September 7, 2021

ON INVESTMENT MANAGEMENT CO

RIA

CRD#: 105662

Hutchinson, KS

Past

June 26, 2020 - September 7, 2021

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

HUTCHINSON, KS

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.

Highlighted states indicate IAR registrations

IAR

Kansas
(9/1/2021)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/20/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/28/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/4/2020

Securities Industry Essentials Examination

Current Firm

NORTH FORK FINANCIAL, LLC

CRD#: 316152 / SEC#: 801-122205

RIA

Registered Investment Advisory firm - (1/28/2022 Terminated)

Kansas

Registered Investment Advisory firm - (1/21/2022 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

16 W. 4th Ave. Suite A, Hutchinson, KS 67501

Mailing Address

Phone number

(620) 931-8991

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	303
AUM (Assets Under Management)	$ 27,068,532

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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Seth Surface

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

NORTH FORK FINANCIAL, LLC

ON INVESTMENT MANAGEMENT CO

THE O.N. EQUITY SALES COMPANY

State Registrations and Notice Filings

Exams

Series 66

Date: 8/20/2020

Series 7TO

Date: 3/28/2024

SIE

Date: 6/4/2020

Current Firm

NORTH FORK FINANCIAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NORTH FORK FINANCIAL, LLC

TRUST BUT VERIFY

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