Sean Matthew Forbes
Professional Summary
Sean Matthew Forbes, who also goes by Matthew Sean Forbes, Matthew Forbes Sean, is a registered financial advisor currently at HAITONG INTERNATIONAL SECURITIES (USA) INC. located in New York, New York. Sean is registered as a RR (Registered Representative) and started their career in finance in 1987. Sean has worked at 6 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE, Series 87, Series 3, Series 7, Series 14 and Series 24...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Matthew Sean Forbes, Matthew Forbes Sean
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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
39 years in the financial services industry
Current & Past Employments
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Current Firm
HAITONG INTERNATIONAL | JAPANINVEST INC. | HAITONG INTERNATIONAL SECURITIES (USA) INC.
Contact Information
Main Address
130 West 42nd Street Fl 18, New York, NY 10036Mailing Address
130 West 42nd Street Fl 18, New York, NY 10036Phone Number
(212) 351-6000Established
New York since 06/09/2004Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (25 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HAITONG INTERNATIONAL SECURITIES GROUP LIMITED | PARENT | — |
| BASILOTTA, SILVIA GRACIELA | FINANCIAL OPERATIONS PRINCIPAL | 1201948 |
| CHOU, CHUK NAM | BOARD OF DIRECTORS MEMBER | 7755974 |
| FORBES, SEAN MATTHEW | PRESIDENT, CHIEF COMPLIANCE OFFICER, COO, CFO, EXECUTIVE PRINCIPAL, BOARD OF DIRECTORS MEMBER | 1554301 |
| SHI, PING | BOARD OF DIRECTORS MEMBER | 7030173 |
| WU, YAN | DEPUTY CEO, BOARD OF DIRECTORS MEMBER | 3120765 |
| YE, WEILU | CEO, BOARD OF DIRECTORS MEMBER | 7205185 |
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
(3/23/2005)
(3/16/2015)
(3/29/2005)
(3/16/2015)
(3/3/2006)
(5/1/2015)
(4/12/2006)
(3/16/2015)
(3/24/2005)
(3/16/2015)
(9/26/2006)
(3/16/2015)
(3/16/2015)
(3/3/2006)
(3/16/2015)
(3/23/2005)
(11/13/2015)
(3/16/2015)
(3/16/2015)
(11/2/2016)
(3/16/2015)
(3/17/2015)
(3/16/2015)
(3/16/2015)
(3/16/2015)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Aug 2014About the Series 87 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Sean Matthew Forbes's CRS (Customer Relationship Summary).
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