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Information

Firm:
Type: RIA
Description

Carl Seadale is a financial professional at Emerson Investment Management Inc, a $678M RIA based in Boston, MA. Carl has held an industry securities registration for 4 years and is subject to SEC oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Carl Edward Seadale has not answered any questions on Financial Q&A.

Top Guides

Carl Edward Seadale has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

High Net Worth Individuals
Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Other
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Emerson Investment Management Inc 5 years, 5 months Nov 2008 - Present
Ing Financial Partners, Inc. 3 years, 9 months Jan 2005 - Oct 2008
Brokers Service Marketing Group 4 years, 9 months Jan 2004 - Oct 2008
Reliable Silver 1 year, 11 months Jan 2002 - Dec 2003
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 12/05/2008, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Not registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
12/05/2008
11/12/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 12/17/2008
Investment Company Products/Variable Contracts Representative Examination Series 6 05/05/2004
Uniform Securities Agent State Law Examination Series 63 04/30/2004

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees