Sean T. Gormley
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 Timothy Gormley was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1986. Sean had worked at 7 firms and has passed the Series 63, Series 3, Series 7, Series 15 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2010 - January 17, 2012
TULLETT PREBON FINANCIAL SERVICES LLC
September 15, 2005 - March 24, 2009
ICAP SECURITIES USA LLC
March 26, 2004 - July 22, 2005
TRADITION SECURITIES AND DERIVATIVES LLC
July 15, 2003 - February 2, 2004
MAKO FINANCIAL MARKETS, LLC
April 16, 2002 - July 1, 2003
INTER-DEALER BROKERS LLC
October 9, 1995 - April 16, 2002
GFI SECURITIES LLC
May 22, 1986 - February 27, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
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 15
Date: 8/6/1986
Foreign Currency Options ExaminationCurrent Firm
TULLETT PREBON FINANCIAL SERVICES LLC
CRD#: 28196 / SEC#: , 8-43487
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 17 |
Red Flags
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