Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Gaffey is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc., located in New York, NY. Sean has been in the industry since 2002. Sean is a registered investment advisor in New Jersey, New York, and Texas. Sean is also a registered principal in options. Sean has extensive experience in providing financial advice to individuals, corporations, and institutions. Sean holds Series 3, 4, 7, 63, and 65 securities licenses. Sean has been associated with Merrill Lynch since 2009. Previously, Sean was employed at BANC of America Investment Services, Inc., E*TRADE Securities LLC, Wall Street Access, UBS PaineWebber Inc. and CIBC World Markets Corp.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
06/15/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NJ
02/22/2008 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (FORT LEE NJ)
NY
11/05/2004 - 03/04/2008
E*TRADE SECURITIES LLC (NEW YORK NY)
NY
03/09/2004 - 10/28/2004
WALL STREET ACCESS (NEW YORK NY)
NJ
10/08/2002 - 03/10/2003
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
01/22/2001 - 09/10/2002
CIBC WORLD MARKETS CORP. (NEW YORK NY)
IA
Issued 08/18/2008
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 04/02/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/18/2005
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/2005
Series 3 - National Commodity Futures Examination
BC
Issued 01/20/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Sean Gaffey is the right advisor for you? Invested Better is here to help.
