Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Malloy is a securities professional with over 17 years of experience in the financial industry. Sean has been registered with FINRA since 2005 and holds a number of licenses and qualifications, including the Series 3, 7, 24, 63, 79, and 99 exams. Sean is currently employed with Clear Street LLC and has previously been registered with firms such as Precision Securities, LLC, SageTrader, LLC, E D & F Man Capital Markets Inc., Apex Clearing Corporation, Penson Financial Services, Inc., Penson Execution Services, Inc., NYFIX Millennium, L.L.C. and NYFIX Transaction Services, Inc. Sean has experience in a variety of financial services areas, including investment banking and operations. Sean has held licenses in multiple states, including California, Colorado, Connecticut, Delaware, Florida, Illinois, New Jersey, New York and Texas. Sean is a valuable asset to any firm seeking a well-rounded and experienced professional.
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.
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.
1
2
NY
10/27/2020 - Present
Clear Street LLC (NEW YORK NY)
CA
10/27/2020 - 10/14/2022
PRECISION SECURITIES, LLC (DEL MAR CA)
CA
05/24/2013 - 10/29/2020
SAGETRADER, LLC (SAN FRANCISCO CA)
NY
08/29/2012 - 05/22/2013
E D & F MAN CAPITAL MARKETS INC. (NEW YORK NY)
TX
07/09/2012 - 08/01/2012
APEX CLEARING CORPORATION (DALLAS TX)
TX
11/05/2007 - 08/01/2012
PENSON FINANCIAL SERVICES, INC. (DALLAS TX)
TX
07/08/2009 - 03/28/2012
PENSON EXECUTION SERVICES, INC. (DALLAS TX)
NY
08/12/2005 - 07/13/2007
NYFIX MILLENNIUM, L.L.C. (NEW YORK NY)
NY
01/05/2005 - 07/13/2007
NYFIX TRANSACTION SERVICES, INC. (NEW YORK NY)
BC
Issued 07/11/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/26/2009
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/30/2013
Series 3 - National Commodity Futures Examination
BC
Issued 01/04/2005
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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