Sean P. Brennan
Professional summary
Sean Patrick Brennan was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Sean is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Sean had worked at 3 firms, which includes CANTOR FITZGERALD SECURITIES, CREDIT SUISSE SECURITIES (USA) LLC, PROFUNDS DISTRIBUTORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 1994 - April 21, 1995
CANTOR FITZGERALD SECURITIES
November 15, 1993 - May 24, 1994
CREDIT SUISSE SECURITIES (USA) LLC
January 1, 1991 - August 24, 1993
PROFUNDS DISTRIBUTORS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
CANTOR FITZGERALD SECURITIES
CRD#: 19660 / SEC#: , 8-37708
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFLP CFS I HOLDINGS, L.P. | MANAGING PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER | 1161513 |
| CFGM CFS HOLDINGS, LLC | PARTNER | |
| GOLDMAN, IRVIN JAN | CEO AND PRESIDENT DEBT CAPITAL MARKETS AND ASSET MANGEMENT | 1265520 |
| LIPSON, RICHARD ROBERT | CHIEF FINANCIAL OFFICER | 2378464 |
| MERKEL, STEPHEN M | CHIEF LEGAL OFFICE | 2366318 |
| WELS, ANDREW CRAIG | CHIEF COMPLIANCE OFFICE | 1970864 |
Disclosures
| Regulatory Event | 3 |
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