Seth Howard Schwartz

Current Employers

Employment History

• 10/2008 → Present
  Broadridge Financial Solutions, Inc.
  Cheyenne, WY
• 08/2008 → Present
  Self
  Cheyenne, WY
• 04/2010 → 12/2019
  Turner Capital Investments, Llc
  Encinitas, CA
• 06/2010 → Present
  Kcd Financial, Inc.
  Cheyenne, WY

Previous Registrations

• 2010-04-27 → 2017-05-04
  Turner Capital Investments, Llc
  Encinitas, CA
• 2006-03-09 → 2015-06-15
  Madison Avenue Advisors, Inc.
  San Diego, CA
• 2014-02-17 → 2014-06-30
  Centara Capital Management Group, Inc.
  San Diego, CA
• 2005-10-21 → 2005-11-18
  Independent Financial Group, Llc
  San Diego, CA
• 2003-06-16 → 2005-10-21
  Independent Financial Group, Llc
  San Diego, CA
• 2002-04-22 → 2003-02-24
  Spelman & Co., Inc.
  San Diego, CA
• 2002-04-22 → 2003-02-24
  Sentra Securities Corporation
  San Diego, CA
• 2002-04-05 → 2003-02-24
  Sunamerica Securities, Inc.
  Phoenix , AZ

Other Businesses

1-BROADRIDGE FINANCIAL SOLUTIONS, INC. NOT INVESTMENT RELATED, CHEYENNE, WY. PROVIDER OF FINANCIAL/INVESTMENT RELATED NEWSLETTERS, SEMINARS, AND WEB SITES - COMPLIANCE PRINCIPAL. START 6-24-10, 40 HOURS PER WEEK ALL OF WHICH ARE DURING MARKET HOURS. RESPONSIBLE FOR REVIEWING BROADRIDGE PREPARED CONTENT AND THEN SUBMITTING IT TO FINRA FOR REVIEW THROUGH MY REGISTRATION WITH KCD FINANCIAL. 2- SETH SCHWARTZ, NOT INVESTMENT RELATED, CHEYENNE, WY. SECURITIES AND ADVISORY COMPLIANCE CONSULTING - OWNER. START 6-24-10, HOURS VARY DEPENDING ON NUMBER OF CLIENTS AND CLIENT NEEDS, BUT WORK WOULD BE DURING NON-MARKET HOURS. 3-FINRA, NOT INVESTMENT RELATED, Cheyenne, WY. SECURITIES REGULATOR - ARBITRATOR. START 6-24-10, HOURS VARY--DEPENDS ON WHEN NEEDED. COULD SIT ON A FINRA ARBITRATION PANEL AND PAID AN HONORARIUM WHEN PARTICIPATE ON PANEL. 4-THOMAS HEIGHTS HOMEOWNERS ASSOCIATION, NOTINVESTMENT RELATED, NO COMPENSATION, CHEYENNE, WY-HOA BOARD MEMBER, START 2-21-2023, ALL FUNDS HANDLED BY THIRD PARTY, ONE HOUR PER MONTH NOT DURING MARKET HOURS.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-03-12
• S63 Uniform Securities Agent State Law Examination
  1996-05-24

Other Names

• Seth H Schwartz