Sean M. Forbes
Professional summary
Sean Matthew Forbes, who also goes by Matthew Sean Forbes, Matthew Forbes Sean, is a registered financial professional 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 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sean Matthew Forbes's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 13, 2005 - Present
HAITONG INTERNATIONAL SECURITIES (USA) INC.
Office #1: 130 West 42nd Street Fl 18, New York, NY 10036Office #2: 130 West 42nd Street Fl 18, New York, NY 10036August 21, 2018 - December 21, 2022
HAITONG SECURITIES USA LLC
March 21, 2000 - December 31, 2002
CREDIT SUISSE SECURITIES (USA) LLC
August 25, 1999 - March 29, 2000
SCHRODER & CO. INC.
August 25, 1988 - August 22, 1997
YAMAICHI INTERNATIONAL (AMERICA) INC.
June 3, 1987 - July 25, 1988
DAIWA CAPITAL MARKETS AMERICA 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
(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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationFINRA
Current Firm
HAITONG INTERNATIONAL SECURITIES (USA) INC.
CRD#: 132201 / SEC#: , 8-66566
Contact information
FINRA licenses (25 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 | 1 |
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