Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean O'Brien is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc.. Sean has been in the industry since July 1996. Sean is registered with the state of New York and Texas. Sean is a Series 65, Series 63, Series 10, Series 24, Series 4, Series 57TO, SIE, Series 55, Series 7, Series 25 and Series 3 licensed representative.
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
06/17/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
12/21/2011 - 10/12/2012
GETCO SECURITIES, LLC (NEW YORK NY)
NY
10/01/2000 - 12/21/2011
BANC OF AMERICA SPECIALIST, INC. (NEW YORK NY)
TX
01/19/1999 - 08/25/2000
FLEET SECURITIES, INC. (DALLAS TX)
NY
07/12/1996 - 07/10/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
05/13/1994 - 01/23/1995
ADLER COLEMAN & CO., INC. (NEW YORK NY)
IA
Issued 06/16/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/17/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/28/2013
Series 24 - General Securities Principal Examination
BC
Issued 05/22/2008
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/29/2012
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/01/2000
Series 7 - General Securities Representative Examination
BC
Issued 11/17/1999
Series 25 - NYSE Trading Assistant Examination
BC
Issued 11/02/1994
Series 3 - National Commodity Futures 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
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