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Sean Brian Gunderman

Scotia Capital (usa) Inc.

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About Sean Brian Gunderman

Sean Gunderman is a financial professional with over 14 years of experience in the industry. Sean is currently registered with Scotia Capital (usa) Inc. in New York. Sean has previously worked at MUFG Securities Americas Inc., Barclays Capital Inc., Morgan Stanley & Co. LLC, and Credit Suisse Securities (USA) LLC. Sean has passed several industry examinations, including the Series 3, 7, 24, and 63. Sean is licensed in New York.

Firm Information

Sean Gunderman is currently registered with Scotia Capital (usa) Inc.. Scotia Capital (usa) Inc. is a corporation formed in 1939 and headquartered in the United States. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia and Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

108

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Sean Gunderman’s Registration & Firm History

NY

03/31/2022 - Present

Scotia Capital (usa) Inc. (NEW YORK NY)

NY

01/07/2020 - 04/06/2022

MUFG SECURITIES AMERICAS INC. (NEW YORK NY)

NY

10/12/2011 - 05/23/2019

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

07/26/2010 - 10/18/2011

MORGAN STANLEY & CO. LLC (NEW YORK NY)

NY

09/26/2007 - 06/09/2010

CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/31/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/05/2009

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/12/2009

Series 3 - National Commodity Futures Examination

BC

Issued 09/25/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Sean Brian Gunderman.
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