Seth AdamsCRD Number: 3138057
Current Firm: Ubs Financial Services Inc.
Seth Adams (CRD# 3138057) is an Investment Advisor Representative working at Ubs Financial Services Inc. in New London, CT and has over 18 years of experience in the finance industry.
Lansdowne Wealth Management, LLC
First Financial Advisory Services Inc.
Sagepoint Financial, Inc.
|Ubs Financial Services Inc.||New London, CT||Sep 2013 - Current||4|
|Morgan Stanley Smith Barney||Madison, CT||Jun 2009 - Sep 2013||4|
|Morgan Stanley & Company Incorporated||Madison, CT||Jul 2008 - Jun 2009||< 1|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||New Haven, CT||Sep 1998 - Jul 2008||9|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 1999|
|S65||NASAA Investment Advisors Law Examination||Aug 1999|
- Customer Dispute
Total Assets Under Management358,253MILLIONS
Total Number of Accounts860,383ACCOUNTS
Average Account Value$416,388
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Security ratings or pricing services
- Educational seminars/workshops
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV