Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Michael Smith is a financial professional with experience in the securities industry. Sean has worked with TM Capital Corp. and Axio Financial LLC. Sean holds a Series 63, Series 79TO, and SIE license. Sean currently works with Finalis Securities LLC. Sean is registered with the state of Florida.
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.
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2
NY
01/18/2024 - Present
Finalis Securities LLC (New York NY)
NY
04/26/2022 - 07/11/2023
TM CAPITAL CORP. (NEW YORK NY)
NY
11/11/2021 - 03/18/2022
AXIO FINANCIAL LLC (NEW YORK NY)
BC
Issued 08/25/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/10/2021
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/16/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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