Seth Christopher Adams

Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2013 → 04/2025
  Ubs Financial Services Inc.
  New London, CT
• 04/2025 → Present
  Raymond James & Associates, Inc
  New London, CT

Previous Registrations

• 2013-09-11 → 2025-05-23
  Ubs Financial Services Inc.
  New London, CT
• 2009-06-01 → 2013-09-16
  Morgan Stanley
  Madison, CT
  New London, CT
• 2008-07-14 → 2009-06-01
  Morgan Stanley & Co. Llc
  Madison, CT
• 1999-10-13 → 2008-07-14
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New London, CT
  Mystic, CT

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-08-13
• S63 Uniform Securities Agent State Law Examination
  1999-07-15

Other Names

• Seth C Adams