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Detailed Report
SETH TYLER LEISHMAN
SETH T LEISHMAN
CRD#: 5095063
IA
Investment Adviser
B
Broker
OSTROFE FINANCIAL CONSULTANTS INCCRD#: 110064 420 SIERRA COLLEGE DRIVE
SUITE 200
GRASS VALLEY, CA 95945
LPL FINANCIAL LLCCRD#: 6413 420 SIERRA COLLEGE DR # 200
GRASS VALLEY, CA 95945-9529
Registration History
20082010201220142016201820202022202420262 FIRMS2016 - 2017 (1 year)IAOSTROFE FINANCIAL CONSULTANTS INC (CRD# 110064)2018 - Present (6 years)BLPL FINANCIAL LLC (CRD# 6413)2017 - Present (7 years)BTCFG WEALTH MANAGEMENT, LLC (CRD# 164153)2015 - 2015 (<1 year)BNATIONAL PLANNING CORPORATION (CRD# 29604)2007 - 2013 (6 years)IALPL FINANCIAL LLC (CRD# 6413)2017 - 2018 (<1 year)IAWOODLAND LEISHMAN & ASSOCIATES (CRD# 109271)2014 - 2015 (<1 year)
Disclosure(s)
View By:
4/11/2019
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 7/27/2018
B
Minnesota 7/27/2018
B
Alaska 7/27/2018
B
Missouri 4/27/2021
B
Arizona 11/29/2017
B
Montana 7/25/2018
B
California 11/29/2017
B
Nevada 7/25/2018
IA
California 4/6/2018
B
New Jersey 9/23/2020
B
Colorado 7/25/2018
B
New Mexico 7/27/2018
B
Connecticut 7/25/2018
B
New York 7/27/2018
B
Florida 7/30/2019
B
North Carolina 7/26/2018
B
Georgia 7/27/2018
B
Ohio 7/30/2018
B
Hawaii 11/29/2017
B
Oklahoma 11/28/2018
B
Idaho 11/29/2017
B
Oregon 7/25/2018
B
Illinois 7/27/2018
B
Pennsylvania 11/29/2017
B
Indiana 7/27/2018
B
South Carolina 7/25/2018
B
Iowa 7/25/2018
B
Tennessee 7/11/2022
B
Kansas 11/29/2017
B
Texas 11/29/2017
B
Kentucky 1/14/2019
B
Utah 7/25/2018
B
Maine 7/25/2018
B
Virginia 7/25/2018
B
Maryland 7/27/2018
B
Washington 6/28/2018
B
Michigan 7/27/2018

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OSTROFE FINANCIAL CONSULTANTS INC (CRD#:110064)
420 SIERRA COLLEGE DRIVE SUITE 200, GRASS VALLEY, CA 95945
Registered with this firm since 4/6/2018
B
LPL FINANCIAL LLC (CRD#:6413)
420 SIERRA COLLEGE DR # 200, GRASS VALLEY, CA 95945-9529
Registered with this firm since 11/29/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/29/2017 - 07/16/2018 LPL FINANCIAL LLC (CRD#:6413) FORT MILL, SC
IA
 02/26/2016 - 11/29/2017 NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) (CRD#:29604) GRASSVALLEY, CA
B
 02/12/2016 - 11/29/2017 NATIONAL PLANNING CORPORATION (CRD#:29604) GRASSVALLEY, CA
B
 08/04/2015 - 12/31/2015 TCFG WEALTH MANAGEMENT, LLC (CRD#:164153) ESCONDIDO, CA
IA
 12/09/2014 - 05/29/2015 WOODLAND LEISHMAN & ASSOCIATES (CRD#:109271) SANTA MARIA, CA
B
 02/16/2007 - 07/01/2013 NATIONAL PLANNING CORPORATION (CRD#:29604) SANTA MARIA, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.