Individual Firm
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HAZEL SEO HEEGYUNG SECCO
HAZEL SECCO, HUIKYEONG SECCO, HUIKYEONG SEO
CRD#: 6233372
IA
B
LPL FINANCIAL LLCCRD#: 6413 HOBOKEN, NJ
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11/21/2017
Employment Separation After Allegations
State Registrations
B
California 1/23/2024
B
New York 3/29/2019
B
Colorado 9/12/2019
B
North Carolina 4/18/2023
B
District of Columbia 5/17/2023
B
Ohio 9/30/2024
B
Florida 5/13/2019
B
Pennsylvania 5/13/2019
B
New Jersey 3/29/2019
IA
Texas 1/24/2024
IA
New Jersey 4/11/2019
B
Vermont 3/9/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 4/11/2019
B
Registered with this firm since 3/29/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/08/2019 - 04/18/2023 | FAIRFIELD, NJ | |
B | 12/01/2017 - 04/02/2019 | NEW YORK, NY | |
IA | 08/12/2015 - 12/12/2017 | Englewood Cliffs, NJ | |
B | 08/13/2013 - 12/12/2017 | Englewood Cliffs, NJ |
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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.