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Detailed Report
Seth Daniel Cave
SETH CAVE
CRD#: 7374209
IA
Investment Adviser
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Previous Broker
ELLERBROCK-NORRIS WEALTH STRATEGIES LLCCRD#: 295099 4331 NORTH 156TH STREET
OMAHA, NE 68116
Registration History
2021202220232024202520262 FIRMS2022 - 2024 (1 year)IAELLERBROCK-NORRIS WEALTH STRAT... (CRD# 295099)2024 - Present (<1 year)BVANGUARD MARKETING CORPORATION (CRD# 7452)2021 - 2022 (<1 year)
License(s)

State Registrations

IA
Nebraska 4/15/2024
Current Registration(s)
IA
ELLERBROCK-NORRIS WEALTH STRATEGIES LLC (CRD#:295099)
4331 NORTH 156TH STREET, OMAHA, NE 68116
Registered with this firm since 4/15/2024
Previous Registration(s)
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IA
 07/01/2022 - 04/05/2024 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) OMAHA, NE
B
 06/06/2022 - 04/05/2024 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) OMAHA, NE
B
 07/07/2021 - 02/11/2022 VANGUARD MARKETING CORPORATION (CRD#:7452) SCOTTSDALE, AZ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.