Investment Options

Offering a wide-range of investment opportunities.

Through Seth’s affiliation with First Allied, he provides a wide-range of diversified financial products. Together, they offer you the objectivity of working with an independent financial consultant combined with the stability and strength to access the world’s financial markets and a wealth of investment resources. Below is a detailed list of financial product offerings through First Allied.


  • NYSE-listed stocks
  • NASDAQ over-the counter
  • All other major exchanges
  • Foreign stocks
  • Margin accounts
  • 144 and other restricted securities sales
  • Employee stock-option plans

Cash Management

  • Daily sweep accounts
  • Money markets
  • Insured CDs
  • Online account access

Retirement Accounts

  • IRAs
  • SEP/IRAs
  • Roth IRAs
  • Education IRAs
  • Simple IRAs
  • Defined contribution
  • Money-purchase pension plan
  • 401(k)

Mutual Funds

  • Open-end funds
  • Closed-end funds
  • Networking
  • Dividend reinvestment

Unit Investment Trusts

Asset Management

  • Independent manager search
  • Performance monitoring and reporting
  • Wrap-fee accounts
  • Asset allocation
  • Fee-in-lieu accounts
  • Outside managed accounts


  • CMOs
  • Convertible
  • Corporate
  • Municipal
  • Zero coupon

Government Securities

  • Ginnie Maes
  • Treasury bills
  • Treasury bonds
  • Treasury notes


  • Fixed annuities
  • Variable annuities
  • Term life
  • Variable life
  • Universal life
  • Whole life
  • Long-term care

Alternative Investments

  • Equity-linked notes
  • Venture Capital

And More . . .

  • Education and 529 plans

Seth offers securities through First Allied Securities, Member: FIRNA/SIPC and advisory services through First Allied Services. Check the background of this investment professional on FINRA’s BrokerCheck.