SR
SR
Seth Radow is a registered investment advisor, based in Brentwood, TN, with 42 years of industry experience. Seth is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Brentwood, TN
Get directionsHistory
Regulatory History (4)
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Customer Dispute
November 2016Denied
Customer Dispute
December 2015Settled
Employment Separation After Allegations
November 2015Customer Dispute
March 1998Award / Judgment
Other Business ActivitiesSells Insurance
Seth is a business owner and partner in Kempo DD Martial Arts, dedicating about 10-20% of his time. He is also a Registered Investment Advisor with Apollon Wealth Management, spending about a third of his time there, and an agent selling fixed/traditional insurance products, dedicating minimal time.
Employment History
Current Registrations
Purshe Kaplan Sterling InvestmentsBroker
August 2022 - Present · 4 yrs 2 mos
Apollon Wealth Management, LLC
August 2022 - Present · 4 yrs 2 mos
Previous Registrations
Raymond James & Associates, INC.
November 2015 - August 2022 · 6 yrs 9 mos
Raymond James & Associates, INC.Broker
November 2015 - August 2022 · 6 yrs 9 mos
UBS Financial Services INC.
April 2002 - November 2015 · 13 yrs 7 mos
UBS Financial Services INC.Broker
February 2002 - November 2015 · 13 yrs 9 mos
Donaldson, Lufkin & Jenrette Securities CorporationBroker
January 1991 - February 2002 · 11 yrs 1 mo
Oppenheimer & CO., INC.Broker
October 1990 - February 1991 · 4 mos
Bear, Stearns & CO. INC.Broker
February 1988 - September 1990 · 2 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1986 - February 1988 · 1 yr 9 mos
Investors Center IncorporatedBroker
July 1984 - April 1986 · 1 yr 9 mos
State Registrations7 states
CAFLGAILNYPATN
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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