Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Tobin is a financial advisor with Wells Fargo Securities, LLC. Sean has over 28 years of experience in the financial industry and holds Series 3, 7, 9, 10, 30, 52TO, 63, 6TO, 72, 82TO, 99TO, and SIE licenses. Sean was previously registered with Deutsche Bank Securities Inc., Lehman Brothers Inc., Lehman Government Securities Inc., and Lehman Special Securities Inc. Sean is registered to provide investment advice in all 50 states and the District of Columbia.
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
CA
03/25/2020 - Present
Wells Fargo Securities, LLC (SAN FRANCISCO CA)
CA
04/21/2003 - 09/23/2019
DEUTSCHE BANK SECURITIES INC. (SAN FRANCISCO CA)
NY
10/21/1993 - 04/01/2003
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
10/21/1993 - 10/23/1995
LEHMAN GOVERNMENT SECURITIES INC.
NA
10/21/1993 - 07/18/1994
LEHMAN SPECIAL SECURITIES INC.
BC
Issued 01/10/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/21/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/05/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/30/2004
Series 30 - NFA Branch Manager Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 72 - Government Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/16/1997
Series 3 - National Commodity Futures Examination
BC
Issued 11/23/1993
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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