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Detailed Report
SETH CHRISTIAN OWEN
SETH C OWEN, SETH OWEN, Seth Christian Owen
CRD#: 5377868
IA
Investment Adviser
B
Broker
D.A. DAVIDSON & CO.CRD#: 199 Prospect, KY
Registration History
20082010201220142016201820202022202420262 FIRMS2011 - 2012 (1 year)2 FIRMS2012 - 2019 (6 years)2 FIRMS2019 - 2021 (2 years)2 FIRMS2021 - Present (3 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2008 - 2009 (<1 year)BSYNDICATED CAPITAL, INC. (CRD# 29037)2007 - 2008 (<1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2009 - 2009 (<1 year)
License(s)

State Registrations

B
Kentucky 12/6/2021
IA
Kentucky 12/6/2021

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

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
D.A. DAVIDSON & CO. (CRD#:199)
Prospect, KY
Registered with this firm since 12/6/2021
B
D.A. DAVIDSON & CO. (CRD#:199)
Prospect, KY
Registered with this firm since 12/6/2021
Previous Registration(s)
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IA
 03/07/2019 - 11/19/2021 PRIVATE CLIENT SERVICES, LLC (CRD#:120222) LOUISVILLE, KY
B
 03/07/2019 - 11/19/2021 PRIVATE CLIENT SERVICES, LLC (CRD#:120222) LOUISVILLE, KY
IA
 06/11/2012 - 03/11/2019 J.J.B. HILLIARD, W.L. LYONS, LLC (CRD#:453) LOUISVILLE, KY
B
 06/11/2012 - 03/11/2019 J.J.B. HILLIARD, W.L. LYONS, LLC (CRD#:453) LOUISVILLE, KY
IA
 02/18/2011 - 05/22/2012 PNC INVESTMENTS (CRD#:129052) LOUISVILLE, KY
B
 03/02/2011 - 05/22/2012 PNC INVESTMENTS (CRD#:129052) LOUISVILLE, KY
IA
 03/25/2009 - 04/17/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) JACKSONVILLE, FL
B
 11/06/2008 - 04/17/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) JACKSONVILLE, FL
B
 09/11/2007 - 08/15/2008 SYNDICATED CAPITAL, INC. (CRD#:29037) NEWARK, OH
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.