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Detailed Report
JOSEPH GLEN SEEP
JAY SEEP
CRD#: 2328661
IA
Investment Adviser
B
Previous Broker
JOSEPH SEEP & ASSOCIATES, LLCCRD#: 117256 TEMPE, AZ
Registration History
1995200020052010201520202025IAJOSEPH SEEP & ASSOCIATES, LLC (CRD# 117256)2001 - Present (23 years)BJ.W. COLE FINANCIAL, INC. (CRD# 124583)2007 - 2022 (15 years)BQUESTAR CAPITAL CORPORATION (CRD# 43100)2002 - 2007 (4 years)BGAINEY FINANCIAL SERVICES, INC. (CRD# 27968)1998 - 2002 (4 years)BW.B. MCKEE SECURITIES, INC. (CRD# 27968)1998 - 1998 (<1 year)BSUNAMERICA SECURITIES, INC. (CRD# 20068)1997 - 1998 (1 year)BWADDELL & REED, INC. (CRD# 866)1993 - 1997 (4 years)
License(s)

State Registrations

IA
Arizona 10/10/2001
Current Registration(s)
IA
JOSEPH SEEP & ASSOCIATES, LLC (CRD#:117256)
TEMPE, AZ
Registered with this firm since 10/10/2001
Previous Registration(s)
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B
 05/09/2007 - 12/31/2022 J.W. COLE FINANCIAL, INC. (CRD#:124583) TEMPE, AZ
B
 08/28/2002 - 05/09/2007 QUESTAR CAPITAL CORPORATION (CRD#:43100) TEMPE, AZ
B
 07/13/1998 - 08/30/2002 GAINEY FINANCIAL SERVICES, INC. (CRD#:27968) SCOTTSDALE, AZ
B
 06/24/1998 - 07/06/1998 W.B. MCKEE SECURITIES, INC. (CRD#:27968)
B
 05/13/1997 - 07/01/1998 SUNAMERICA SECURITIES, INC. (CRD#:20068) PHOENIX, AZ
B
 03/24/1993 - 05/15/1997 WADDELL & REED, INC. (CRD#:866) OVERLAND PARK, KS
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.