Sean Patrick Harte
Professional Summary
Sean Patrick Harte, who also goes by Sean P Harte, was a registered financial advisor. Sean was a previously registered financial professional and started their career in finance 2006 - 2016. Sean had worked at 6 firms and has passed the Series 66, SIE, Series 3, Series 7, Series 11 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Sean P Harte
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
BCS BROKERAGE, INC. | TRIBAL CAPITAL MARKETS, LLC | PLP CAPITAL, LLC | PLP CAPITAL | BLUE CAPITAL SECURITIES, INC.
Contact Information
Main Address
10243 Mattraw Place, Orlando, FL 32836Mailing Address
10243 Mattraw Place, Orlando, FL 32836Phone Number
(212) 376-7492Established
Delaware since 04/20/2015Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (21 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 11 — Assistant Representative-Order Processing Qualification Exam
Passed Oct 1995Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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