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Sean Harrison Carmody

Maxim Financial Advisors LLC

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About Sean Harrison Carmody

Sean Harrison Carmody is a registered investment advisor representative with Maxim Financial Advisors LLC, headquartered in New York, NY. Sean has been in the securities industry since October 2, 2010, and has a diverse background in the financial sector. Sean holds various licenses and certifications, including Series 66, Series 34, Series 3, and Series 7.

Firm Information

Sean Carmody is currently registered with Maxim Financial Advisors LLC. Maxim Financial Advisors LLC is an investment advisor registered with the SEC and located in NEW YORK, NY. They have 41 investment adviser representatives and manage approximately $371,163,779 in assets for 754 clients. The firm provides portfolio management services for individuals, businesses and pension plans. They also offer selection of other advisors services and participate in wrap fee programs.
Maxim Financial Advisors LLC

300 PARK AVE

NEW YORK, NY 10022

$371.16M

Assets Under Management

Not reported

Total Clients

36

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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percentage of assets

A percentage of the total value of assets under management is charged.

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Sean Carmody’s Registration & Firm History

NY

08/07/2021 - Present

Maxim Financial Advisors LLC (NEW YORK NY)

NY

09/12/2011 - 10/16/2012

AEGIS CAPITAL CORP. (NEW YORK NY)

NY

03/08/2011 - 09/13/2011

RODMAN & RENSHAW, LLC (NEW YORK NY)

NY

05/17/2010 - 10/19/2010

AXA ADVISORS, LLC (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 06/18/2010

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/10/2010

Series 34 - Retail Off-Exchange FOREX Examination

BC

Issued 10/22/2010

Series 3 - National Commodity Futures Examination

BC

Issued 05/14/2010

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Sean Harrison Carmody.
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