DS
DS

Daniel a Seto

18 Years of Experience
Broker
Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEstate Planning
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
94 advisors
Number of Clients
1,733 clients
Average Client Portfolio
$826K average
Assets Under Management
$1.4B

Fee Structure

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Location

1345 Avenue of the Americas, 27th Floor, New York, NY, 10105

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Daniel is a Vice President at Arclight Advisors LLC since 2014, providing business development services for licensing and selling healthcare products, as well as business strategy and advisory services. This activity takes minimal time.

Employment History
Current Registrations
Aegis Capital CORP.
April 2021 - Present · 4 yrs 10 mos
Aegis Capital CORP.Broker
September 2016 - Present · 9 yrs 5 mos
Previous Registrations
Financial West GroupBroker
November 2014 - September 2016 · 1 yr 10 mos
Ledgemont Securities LLCBroker
November 2009 - January 2013 · 3 yrs 2 mos
Banc of America Securities LLCBroker
June 1999 - March 2003 · 3 yrs 9 mos
Warburg Dillon Read LLCBroker
January 1999 - July 1999 · 6 mos
State Registrations4 states
CACTNJNY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.