Rick Jone Seto
Analyst-Fixed Income at Flaherty & Crumrine, Inc.
Profile
Mr. Rick J.
Seto, CFA, is a Managing Director & Vice President at Flaherty & Crumrine, Inc. He joined Flaherty & Crumrine in 2003 after spending eight years as an equity and fixed income analyst and eight years as a commercial bank lending officer.
He is a member of the firm’s credit committee, where his focus is on global banks, REITs and industrials.
From 1999 until joining Flaherty & Crumrine, Mr. Seto was an Associate Equity Analyst at UBS Investment Bank, where he covered natural gas pipelines, local distribution companies, electric utilities, and master limited partnerships.
Prior to UBS, he spent three years at Moody’s Investors Service as an Associate Analyst covering investment-grade Consumer Products and Retail companies.
From 1991-1996, he was an AVP and commercial lending officer at NatWest Bank with primary account and cross-sell responsibilities for a portfolio of consumer products, consumer finance and retail companies.
He was a member of the top-ranked Institutional Investor’s All-America Natural Gas Equity Research Team at UBS in 2003.
He began his career at Heller Financial Inc. as a financial analyst in asset-based lending.
Mr. Seto completed a formal credit-training program at NatWest Bank, and earned his B.S.
in Statistics and Econometrics from New York University.
Rick Jone Seto active positions
| Companies | Position | Start |
|---|---|---|
Flaherty & Crumrine, Inc.
 Flaherty & Crumrine, Inc. Investment ManagersFinance Flaherty & Crumrine, Inc. is an independent, SEC-registered investment advisor headquartered in Pasadena, California. The firm was founded by Robert Flaherty and Donald Crumrine in 1983. Flaherty & Crumrine offers investment supervisory services to corporations and other business entities, charitable organizations, closed-end funds, mutual funds and similar pooled investment vehicles and individuals. | Analyst-Fixed Income | 01/01/2003 |
Former positions of Rick Jone Seto
| Companies | Position | End |
|---|---|---|
UBS Investment Bank (US)
 UBS Investment Bank (US) Investment Banks/BrokersFinance UBS Investment Bank provides investment banking and securities brokerage services. Its clients include institutional and corporate clients, intermediaries, governments, and hedge funds. The firm also provides merger and acquisition advisory, private placement, investment research, foreign exchange, equity, and leverage finance advisory services. The firm is headquartered in San Francisco, CA. | Corporate Officer/Principal | 30/09/2003 |
Moody's Investors Service, Inc.
 Moody's Investors Service, Inc. Insurance Brokers/ServicesFinance Moody's Investors Service, Inc. is a credit rating and investment research firm headquartered in New York City. They are a subsidiary of Moody's Corp. (NYSE: MCO). The firm performs international financial research and analysis on commercial and government entities and provides a variety of analytic tools for assessing credit risk. Their clients include creditors, investment banks and commercial banks. | Corporate Officer/Principal | 30/09/1999 |
| Fleet Bank, NA (Hartford, Connecticut) | Corporate Officer/Principal | 01/09/1996 |
Heller Financial, Inc.
 Heller Financial, Inc. Finance/Rental/LeasingFinance Heller Financial, Inc. provided mercantile financing. It was acquired by GE Capital Corp. The company was located in Chicago, IL | Corporate Officer/Principal | - |
Training of Rick Jone Seto
| New York University | Undergraduate Degree |
Experiences
Positions held
Connections
1st degree connections
1st degree companies
Male
Female
Members of the board
Executives
Linked companies
| Private companies | 5 |
|---|---|
Flaherty & Crumrine, Inc.
Flaherty & Crumrine, Inc. Investment ManagersFinance Flaherty & Crumrine, Inc. is an independent, SEC-registered investment advisor headquartered in Pasadena, California. The firm was founded by Robert Flaherty and Donald Crumrine in 1983. Flaherty & Crumrine offers investment supervisory services to corporations and other business entities, charitable organizations, closed-end funds, mutual funds and similar pooled investment vehicles and individuals. | Finance |
Moody's Investors Service, Inc.
Moody's Investors Service, Inc. Insurance Brokers/ServicesFinance Moody's Investors Service, Inc. is a credit rating and investment research firm headquartered in New York City. They are a subsidiary of Moody's Corp. (NYSE: MCO). The firm performs international financial research and analysis on commercial and government entities and provides a variety of analytic tools for assessing credit risk. Their clients include creditors, investment banks and commercial banks. | Finance |
| Fleet Bank, NA (Hartford, Connecticut) | Finance |
Heller Financial, Inc.
Heller Financial, Inc. Finance/Rental/LeasingFinance Heller Financial, Inc. provided mercantile financing. It was acquired by GE Capital Corp. The company was located in Chicago, IL | Finance |
UBS Investment Bank (US)
UBS Investment Bank (US) Investment Banks/BrokersFinance UBS Investment Bank provides investment banking and securities brokerage services. Its clients include institutional and corporate clients, intermediaries, governments, and hedge funds. The firm also provides merger and acquisition advisory, private placement, investment research, foreign exchange, equity, and leverage finance advisory services. The firm is headquartered in San Francisco, CA. | Finance |
- Stock Market
- Insiders
- Rick Jone Seto
