Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Finnerty is a registered representative with Capital ONE Securities, Inc., located in New Orleans, Louisiana. Sean has been in the financial services industry since 2009. Sean is licensed to conduct business in Virginia.
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
LA
11/23/2016 - Present
Capital ONE Securities, Inc. (NEW ORLEANS LA)
VA
01/02/2015 - 10/06/2015
CAPITAL ONE INVESTING, LLC (MCLEAN VA)
VA
03/19/2013 - 01/02/2015
CAPITAL ONE INVESTMENT SERVICES LLC (MCLEAN VA)
VA
03/19/2008 - 08/23/2012
UBS FINANCIAL SERVICES INC. (RICHMOND VA)
MO
10/11/2007 - 02/12/2008
FIRST CLEARING, LLC (ST. LOUIS MO)
BOTH
Issued 07/10/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/2011
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 12/22/2011
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 10/10/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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