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Inactive

Seth Alan Gusman

Edelman Financial Engines

Ellicott City, MD

Annapolis, MD

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Current Employers
Edelman Financial Engines

3945 Freedom Circle, Santa Clara, CA 95054 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-02-19
MD RA APPROVED 2020-06-06
  • TX RA
    APPROVED_RES
    Since 2026-02-19
  • MD RA
    APPROVED
    Since 2020-06-06

Branch Locations

6031 University Boulevard Suite 150, Ellicott City, MD 21043 • United States

900 Bestgate Road Suite 407, Annapolis, MD 21401 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
T. Rowe Prices Investment Services Baltimore MD 04/2002 10/2017
Unemployed Baltimore MD 10/2017 03/2018
Business First Funding, Llc Baltimore MD 03/2018 Present
Financial Engines Advisors L.L.C Sunnyvale CA 11/2019 Present
  • 04/2002 → 10/2017
    T. Rowe Prices Investment Services
    Baltimore, MD
  • 10/2017 → 03/2018
    Unemployed
    Baltimore, MD
  • 03/2018 → Present
    Business First Funding, Llc
    Baltimore, MD
  • 11/2019 → Present
    Financial Engines Advisors L.L.C
    Sunnyvale, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-06-05
S66 Uniform Combined State Law Examination 2000-06-12
S63 Uniform Securities Agent State Law Examination 1998-02-12
  • S65 Uniform Investment Adviser Law Examination
    2020-06-05
  • S66 Uniform Combined State Law Examination
    2000-06-12
  • S63 Uniform Securities Agent State Law Examination
    1998-02-12

View on SEC IAPD

Other Firms

FOUNDERS FINANCIAL SECURITIES LLC
LEE FINANCIAL ASSOCIATES, INC.
OSAIC WEALTH, INC.
BLUEPRINT WEALTH MANAGEMENT INC.
KESTRA ADVISORY SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.

Other Investors

MARK ANDREW TIMMICK
JAMES JEFFREY LEE
BRIAN WILLIAM SMOOT
JORDAN SCHMUCHER WILSON
DAVID SCOTT ASHER
RAVINDRA NATH DIXIT
WILLIAM SPRUILL
Jade NICOLE Chang

Other Offices

FOUNDERS FINANCIAL SECURITIES LLC · ELLICOTT CITY, MD
LEE FINANCIAL ASSOCIATES, INC. · ELLICOTT CITY, MD
OSAIC WEALTH, INC. · ELLICOTT CITY, MD
BLUEPRINT WEALTH MANAGEMENT INC. · ELLICOTT CITY, MD
KESTRA ADVISORY SERVICES, LLC · ELLICOTT CITY, MD
AMERIPRISE FINANCIAL SERVICES, LLC · Ellicott City, MD
TRANSAMERICA FINANCIAL ADVISORS, LLC · ELLICOTT CITY, MD
STATE FARM INVESTMENT MANAGEMENT CORP. · Ellicott City, MD

More in Ellicott City, MD

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