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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

SETH HOWARD SCHWARTZ

Advisor at KCD FINANCIAL, INC.

GREEN BAY, WI | Cheyenne, WY | CHEYENNE, WY | Green Bay, WI

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Apr 5, 2002 to Sep 15, 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: KCD FINANCIAL, INC.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 24, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: May 24, 1996
First registration: Apr 5, 2002
Dual registered: yes, broker-dealer
Other names: SETH H SCHWARTZ
IAPD individual key: 2366063

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
KCD FINANCIAL, INC.	Independent wealth	May 9, 2017	n/a	yes	GREEN BAY, WI\|Green Bay, WI\|Cheyenne, WY\|CHEYENNE, WY	Current employment
CENTARA CAPITAL MANAGEMENT GROUP, INC.	Former SEC adviser	Feb 17, 2014	Jun 30, 2014	no	SAN DIEGO, CA	Previous registration
TURNER CAPITAL INVESTMENTS, LLC	Independent wealth	Apr 27, 2010	May 4, 2017	no	ENCINITAS, CA	Previous registration
MADISON AVENUE ADVISORS, INC.	n/a	Mar 9, 2006	Jun 15, 2015	no	SAN DIEGO, CA	Previous registration
INDEPENDENT FINANCIAL GROUP, LLC	Bd affiliated wealth	Oct 21, 2005	Nov 18, 2005	no	SAN DIEGO, CA	Previous registration
INDEPENDENT FINANCIAL GROUP, LLC	n/a	Jun 16, 2003	Oct 21, 2005	no	SAN DIEGO, CA	Previous registration
SENTRA SECURITIES CORPORATION	n/a	Apr 22, 2002	Feb 24, 2003	no	SAN DIEGO, CA	Previous registration
SPELMAN & CO., INC.	n/a	Apr 22, 2002	Feb 24, 2003	no	SAN DIEGO, CA	Previous registration
SUNAMERICA SECURITIES, INC.	n/a	Apr 5, 2002	Feb 24, 2003	no	PHOENIX , AZ	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
TURNER CAPITAL INVESTMENTS, LLC	CENTARA CAPITAL MANAGEMENT GROUP, INC.	May 4, 2017	Feb 17, 2014	-1,172	Firm change after gap	Other
MADISON AVENUE ADVISORS, INC.	TURNER CAPITAL INVESTMENTS, LLC	Jun 15, 2015	Apr 27, 2010	-1,875	Firm change after gap	Other
CENTARA CAPITAL MANAGEMENT GROUP, INC.	KCD FINANCIAL, INC.	Jun 30, 2014	May 9, 2017	1,044	Firm change after gap	Other
INDEPENDENT FINANCIAL GROUP, LLC	MADISON AVENUE ADVISORS, INC.	Nov 18, 2005	Mar 9, 2006	111	Firm change	Other
INDEPENDENT FINANCIAL GROUP, LLC	INDEPENDENT FINANCIAL GROUP, LLC	Oct 21, 2005	Oct 21, 2005	0	Firm change	Other
SENTRA SECURITIES CORPORATION	INDEPENDENT FINANCIAL GROUP, LLC	Feb 24, 2003	Jun 16, 2003	112	Firm change	Other
SUNAMERICA SECURITIES, INC.	SPELMAN & CO., INC.	Feb 24, 2003	Apr 22, 2002	-308	Firm change after gap	Other
SPELMAN & CO., INC.	SENTRA SECURITIES CORPORATION	Feb 24, 2003	Apr 22, 2002	-308	Firm change after gap	Other

Relationships

Registered with (9)

→ KCD FINANCIAL, INC.Registered adviserregistration: current employment
May 9, 2017 to presentfactForm ADV
→ TURNER CAPITAL INVESTMENTS, LLCRegistered adviserregistration: previous registration
Apr 27, 2010 to May 4, 2017factForm ADV
→ MADISON AVENUE ADVISORS, INC.Registered adviserregistration: previous registration
Mar 9, 2006 to Jun 15, 2015factForm ADV
→ CENTARA CAPITAL MANAGEMENT GROUP, INC.Registered adviserregistration: previous registration
Feb 17, 2014 to Jun 30, 2014factForm ADV
→ INDEPENDENT FINANCIAL GROUP, LLCRegistered adviserregistration: previous registration
Oct 21, 2005 to Nov 18, 2005factForm ADV
→ INDEPENDENT FINANCIAL GROUP, LLCRegistered adviserregistration: previous registration
Jun 16, 2003 to Oct 21, 2005factForm ADV
→ SPELMAN & CO., INC.Registered adviserregistration: previous registration
Apr 22, 2002 to Feb 24, 2003factForm ADV
→ SENTRA SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Apr 22, 2002 to Feb 24, 2003factForm ADV
→ SUNAMERICA SECURITIES, INC.Registered adviserregistration: previous registration
Apr 5, 2002 to Feb 24, 2003factForm ADV

Dated events

No dated event names this entity yet.