Individual Firm
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MICHAEL CHRISTOPHER SEELEY
CRD#: 4163236
IA
B
ESI FINANCIAL ADVISORSCRD#: 265 92 BAY STREET
SUITE 204
GLENS FALLS, NY 12801
SUITE 204
GLENS FALLS, NY 12801
0
Disclosures
23
Years of Experience
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State Registrations
B
Alabama 4/9/2009
B
New Jersey 4/9/2009
B
Arizona 4/9/2009
B
New York 8/13/2003
B
Connecticut 10/17/2003
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New York 6/22/2021
B
Florida 4/9/2009
B
Pennsylvania 10/4/2021
B
Indiana 9/1/2006
B
South Carolina 4/9/2009
B
Maine 12/23/2008
B
Vermont 9/5/2019
B
Massachusetts 10/17/2003
B
Virginia 3/12/2007
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Registered with this firm since 6/22/2021
B
Registered with this firm since 8/13/2003
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/26/2003 - 06/02/2003 | NEW YORK, NY | |
IA | 10/12/2002 - 01/06/2003 | SOUTH EASTON, MA | |
B | 08/09/2000 - 10/23/2001 | NEW YORK, NY |
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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.