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SETH A JACKSON
SETH ADAM JACKSON, Seth A. Jackson, Seth Jackson
CRD#: 4336100
IA
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VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 WEST FARGO, ND
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1/25/2016
Financial
Final
State Registrations
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Minnesota 2/7/2023
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North Dakota 1/24/2023
IA
Minnesota 2/7/2023
B
Wisconsin 1/9/2025
B
North Dakota 12/1/2022
IA
Wisconsin 1/9/2025
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 1/24/2023
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Registered with this firm since 12/1/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 03/30/2021 - 11/18/2022 | Fargo, ND | |
B | 12/19/2016 - 03/31/2017 | SARASOTA, FL | |
IA | 09/01/2015 - 05/23/2016 | MINNEAPOLIS, MN | |
B | 08/28/2015 - 05/23/2016 | MINNEAPOLIS, MN | |
IA | 02/20/2015 - 04/24/2015 | Fargo, ND | |
B | 02/11/2015 - 04/24/2015 | Fargo, ND | |
B | 09/30/2011 - 01/13/2014 | MINNEAPOLIS, MN | |
IA | 10/03/2011 - 12/31/2013 | MINNEAPOLIS, MN | |
IA | 01/03/2011 - 10/05/2011 | CRYSTAL, MN | |
B | 01/03/2011 - 10/05/2011 | CRYSTAL, MN | |
IA | 07/10/2008 - 01/03/2011 | CRYSTAL, MN | |
B | 05/16/2008 - 01/03/2011 | CRYSTAL, MN | |
B | 03/21/2005 - 05/19/2008 | MINNEAPOLIS, MN | |
B | 09/20/2004 - 02/01/2005 | SAN FRANCISCO, CA |
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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.