Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Hale Peters is a financial professional with over 28 years of experience in the securities industry. Sean has a strong track record of success in the financial markets and is currently registered with BMO Capital Markets Corp. Sean has previously worked at RBC Capital Markets, LLC, Citigroup Global Markets Inc., Salomon Brothers Inc., and Americorp Securities, Inc. Sean holds several industry licenses, including Series 3, 7, 24, 55, 57, and 63. Sean is also a registered principal with BMO Capital Markets Corp. Sean's expertise includes securities trading ideas and research, portfolio management for pooled investment vehicles, and providing securities trading ideas and research. Sean is committed to providing clients with personalized financial advice and investment solutions to help them achieve their financial goals.
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.
Provision of securities trading ideas and research
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.
A percentage of the total value of assets under management is charged.
Fees for securities trading ideas and research
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2
NY
05/20/2022 - Present
BMO Capital Markets Corp. (New York NY)
NY
08/16/2011 - 06/01/2022
RBC CAPITAL MARKETS, LLC (NEW YORK NY)
NY
03/14/1995 - 07/19/2011
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
11/28/1997 - 09/01/1998
SALOMON BROTHERS INC. (NEW YORK NY)
NY
03/28/1994 - 08/17/1994
AMERICORP SECURITIES, INC. (NEW YORK NY)
BC
Issued 03/30/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/12/2011
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/20/2000
Series 3 - National Commodity Futures Examination
BC
Issued 10/19/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 03/25/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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