Roxann SeatonCRD Number: 1395987
Current Firm: Morgan Stanley
Roxann Seaton (CRD# 1395987) is an Investment Advisor Representative working at Morgan Stanley in Sebring, FL and has over 31 years of experience in the finance industry.
Suntrust Investment Services, Inc.
Johnson Stivender Wealth Advisors, Inc.
Raymond James Financial Services Advisors, Inc.
|Morgan Stanley Private Bank, National Association||New York, NY||Jan 2015 - Current||2|
|Morgan Stanley Smith Barney||Sebring, FL||Aug 2012 - Current||4|
|Bank Of America, Na||Sebring, FL||Dec 2009 - Aug 2012||2|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Serbing, FL||Jun 1985 - Aug 2012||27|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1985|
|S65||NASAA Investment Advisors Law Examination||Dec 1993|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management535,890MILLIONS
Total Number of Accounts1,563,538ACCOUNTS
Average Account Value$342,742
- A percentage of assets under your management
- 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)
- Educational seminars/workshops
AK, AL, AR, AZ, 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, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV