Sean P. Harte
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sean Patrick Harte, who also goes by Sean P Harte, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2006. Sean had worked at 6 firms and has passed the Series 66, SIE, Series 3, Series 7, Series 11 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2015 - July 15, 2016
TRIBAL CAPITAL MARKETS, LLC
June 24, 2014 - April 15, 2015
RAYMOND C. FORBES & CO., INC.
January 18, 2012 - July 18, 2012
REGAL SECURITIES, INC.
November 30, 2011 - July 18, 2012
REGAL ADVISORY SERVICES, INC.
August 10, 2009 - December 2, 2009
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
October 13, 2006 - December 2, 2009
MESIROW FINANCIAL, INC.
July 7, 2006 - December 2, 2009
MESIROW FINANCIAL, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 11
Date: 10/5/1995
Assistant Representative-Order Processing Qualification ExamCurrent Firm
TRIBAL CAPITAL MARKETS, LLC
CRD#: 38901 / SEC#: , 8-48460
Contact information
FINRA licenses (22 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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.
