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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

SETH BRODERICK JENNINGS

Advisor at ZACKS INVESTMENT MANAGEMENT, INC.

Riverview, FL | CHICAGO, IL

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Search this name across graphsid dfx:ria:d561f967-306e-b492-1cb0-c35ae570f2d8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: May 7, 2013 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ZACKS INVESTMENT MANAGEMENT, INC.
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 1, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Feb 25, 2013
First registration: May 7, 2013
Dual registered: yes, broker-dealer
IAPD individual key: 5935749

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ZACKS INVESTMENT MANAGEMENT, INC.	Mixed wealth	Nov 6, 2025	n/a	yes	Riverview, FL\|CHICAGO, IL	Current employment
FISHER INVESTMENTS	Independent wealth	Aug 2, 2021	Mar 4, 2025	no	Tampa, FL\|PLANO, TX	Previous registration
CHARTWELL INVESTMENT PARTNERS, LLC	Other adviser	Sep 6, 2017	Nov 24, 2020	no	Tampa, FL\|BERWYN, PA	Previous registration
EAGLE ASSET MANAGEMENT INC	Mixed wealth	May 7, 2013	Jul 31, 2017	no	ST. PETERSBURG, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FISHER INVESTMENTS	ZACKS INVESTMENT MANAGEMENT, INC.	Mar 4, 2025	Nov 6, 2025	247	Firm change	RIA to RIA
CHARTWELL INVESTMENT PARTNERS, LLC	FISHER INVESTMENTS	Nov 24, 2020	Aug 2, 2021	251	Firm change	Other
EAGLE ASSET MANAGEMENT INC	CHARTWELL INVESTMENT PARTNERS, LLC	Jul 31, 2017	Sep 6, 2017	37	Firm change	Other

Relationships

Registered with (4)

→ ZACKS INVESTMENT MANAGEMENT, INC.Registered adviserregistration: current employment
Nov 6, 2025 to presentfactForm ADV
→ FISHER INVESTMENTSRegistered adviserregistration: previous registration
Aug 2, 2021 to Mar 4, 2025factForm ADV
→ CHARTWELL INVESTMENT PARTNERS, LLCRegistered adviserregistration: previous registration
Sep 6, 2017 to Nov 24, 2020factForm ADV
→ EAGLE ASSET MANAGEMENT INCRegistered adviserregistration: previous registration
May 7, 2013 to Jul 31, 2017factForm ADV

Dated events

Occurred
Mar 4, 2025
Advisor changed firm
Seth Broderick Jennings left Fisher Investments for Zacks Investment Management, Inc. (registered 2025-11-06)
Form ADVobserved 5 days ago