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Sean Edward Mallon

Moomoo Financial Inc.

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About Sean Edward Mallon

Sean Edward Mallon is a financial advisor at Moomoo Financial Inc., working in the Jersey City, NJ office. Sean joined Moomoo Financial Inc. on June 18, 2024. Before joining Moomoo Financial Inc., Sean was with Charles Schwab & Co., Inc. in Westlake, TX, leaving the company on January 8, 2024. Sean has been active in the industry since September 5, 2002, with a breadth of experience at various financial institutions.

Firm Information

Sean Mallon is currently registered with Moomoo Financial Inc.. Moomoo Financial Inc. is a Corporation that was formed on December 17, 2015. It is registered in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has one approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

33

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 Mallon’s Registration & Firm History

NJ

06/18/2024 - Present

Moomoo Financial Inc. (JERSEY CITY NJ)

TX

09/09/2022 - 01/08/2024

CHARLES SCHWAB & CO., INC. (Westlake TX)

TX

03/10/2014 - 12/20/2023

TD AMERITRADE, INC. (Westlake TX)

TX

01/02/2015 - 12/31/2020

TD AMERITRADE CLEARING, INC. (Southlake TX)

UT

08/20/2002 - 04/09/2007

WELLS FARGO INVESTMENTS, LLC (SALT LAKE CITY UT)

NJ

11/08/2000 - 05/14/2002

E*TRADE SECURITIES, INCORPORATED (JERSEY CITY NJ)

TX

07/28/1995 - 10/02/2000

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

MI

05/06/1994 - 12/14/1994

OLDE DISCOUNT CORPORATION (DETROIT MI)

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Licenses & Designations

BC

Issued 03/17/2014

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 04/10/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/20/2015

Series 4 - Registered Options Principal Examination

BC

Issued 04/07/2014

Series 24 - General Securities Principal Examination

BC

Issued 05/01/1997

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/10/2014

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Sean Edward Mallon.
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