SA
SA
Seth Adams
26 Years of Experience
New London, CT
2 DisclosuresBroker
Seth Adams is a registered investment advisor at Raymond James & Associates, INC., based in New London, CT, with 26 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
125 Eugene Oneill DR, Suite 100, New London, CT, 06320
Get directionsHistory
Regulatory History (2)
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Customer Dispute
September 2004Closed-No Action
Customer Dispute
February 2004Settled
Employment History
Current Registrations
Raymond James & Associates, INC.Broker
April 2025 - Present · 1 yr 3 mos
Raymond James & Associates, INC.
April 2025 - Present · 1 yr 3 mos
Previous Registrations
UBS Financial Services INC.Broker
September 2013 - May 2025 · 11 yrs 8 mos
UBS Financial Services INC.
September 2013 - May 2025 · 11 yrs 8 mos
Morgan StanleyBroker
June 2009 - September 2013 · 4 yrs 3 mos
Morgan Stanley
June 2009 - September 2013 · 4 yrs 3 mos
Morgan Stanley & CO. Incorporated
July 2008 - June 2009 · 11 mos
Morgan Stanley & CO. IncorporatedBroker
July 2008 - June 2009 · 11 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 1999 - July 2008 · 8 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1999 - July 2008 · 9 yrs 2 mos
State Registrations33 states
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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.