Individual Firm
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SETH CHRISTIAN OWEN
SETH C OWEN, SETH OWEN, Seth Christian Owen
CRD#: 5377868
IA
B
D.A. DAVIDSON & CO.CRD#: 199 Prospect, KY
0
Disclosures
15
Years of Experience
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State Registrations
B
Kentucky 12/6/2021
IA
Kentucky 12/6/2021
SRO Registrations
B
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/07/2019 - 11/19/2021 | LOUISVILLE, KY | |
B | 03/07/2019 - 11/19/2021 | LOUISVILLE, KY | |
IA | 06/11/2012 - 03/11/2019 | LOUISVILLE, KY | |
B | 06/11/2012 - 03/11/2019 | LOUISVILLE, KY | |
IA | 02/18/2011 - 05/22/2012 | LOUISVILLE, KY | |
B | 03/02/2011 - 05/22/2012 | LOUISVILLE, KY | |
IA | 03/25/2009 - 04/17/2009 | JACKSONVILLE, FL | |
B | 11/06/2008 - 04/17/2009 | JACKSONVILLE, FL | |
B | 09/11/2007 - 08/15/2008 | NEWARK, OH |
JACKSONVILLE, FL
03/25/2009 - 04/17/2009
JACKSONVILLE, FL
11/06/2008 - 04/17/2009
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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.