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Gregory Seaver
GREG SEAVER, GREGORY JOSEPH SEAVER
CRD#: 2463706
IA
B
PRINCIPAL ASSET MANAGEMENTCRD#: 109002 West Hartford, CT
PRINCIPAL FUNDS DISTRIBUTOR, INC.CRD#: 43261 West Hartford, CT
0
Disclosures
30
Years of Experience
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State Registrations
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Connecticut 10/12/2023
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New Jersey 10/12/2023
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Connecticut 1/31/2024
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New York 10/12/2023
B
Maine 10/12/2023
B
Pennsylvania 10/12/2023
B
Massachusetts 10/12/2023
B
Rhode Island 10/12/2023
B
New Hampshire 10/12/2023
B
Vermont 10/12/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Registered with this firm since 1/31/2024
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Registered with this firm since 10/12/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 12/03/2012 - 06/08/2023 | SIMSBURY, CT | |
B | 02/10/2012 - 12/03/2012 | SIMSBURY, CT | |
B | 07/19/2001 - 10/26/2011 | WINDSOR, CT | |
B | 04/08/1999 - 06/26/2001 | NEW YORK, NY | |
B | 03/14/1994 - 03/01/1999 | WINDSOR, CT |
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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.
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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.