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JEFFREY BLAIR SETON
JEFFREY B SETON
CRD#: 2344517
IA
B
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 800 SHADES CREEK PARKWAY
SUITES 750 & 775
BIRMINGHAM, AL 35209
SUITES 750 & 775
BIRMINGHAM, AL 35209
0
Disclosures
31
Years of Experience
View By:
State Registrations
B
Alabama 7/7/2015
B
New Jersey 7/7/2015
IA
Alabama 7/7/2015
B
North Carolina 7/7/2015
B
Colorado 9/14/2016
B
South Carolina 2/14/2020
B
Florida 7/7/2015
B
Texas 7/16/2015
B
Georgia 7/7/2015
IA
Texas 7/23/2024
B
Kansas 11/19/2020
B
Virginia 7/7/2015
SRO Registrations
B
B
B
B
B
B
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Registered with this firm since 7/7/2015
B
Registered with this firm since 7/7/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/16/2005 - 07/07/2015 | BIRMINGHAM, AL | |
B | 03/16/1994 - 07/07/2015 | BIRMINGHAM, AL | |
B | 04/12/1995 - 03/13/1998 | BIRMINGHAM, AL |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.