Sean W. Stone
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 William Stone was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1999. Sean had worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2004 - October 18, 2016
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK
February 23, 2004 - February 18, 2005
SVB ASSET MANAGEMENT
October 10, 2002 - March 2, 2004
CAPITAL ADVISORS GROUP, INC
February 3, 2000 - July 3, 2000
GOLDMAN SACHS CUSTODY SOLUTIONS
February 8, 1999 - September 20, 2000
PFN FINANCIAL, L.L.C
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
Current Firm
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK
CRD#: 46902 / SEC#: , 8-51582
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SILICON VALLEY BANK | PARENT | |
| CASEY, BRENDAN WALL | DIRECTOR | 2794197 |
| CHEONG, AMY LAI MUI | CHIEF FINANCIAL OFFICER | 4654230 |
| HACKENBURG, KARA NICOLE | CHIEF COMPLIANCE OFFICER | 2675466 |
| HALL, DARCEY NOEL | ANTI-MONEY LAUNDERING OFFICER | 2599719 |
| HUSAIN, KAMRAN FOUAD | DIRECTOR | 5947865 |
| MATTERA, RICHARD JOSEPH | FINANCIAL AND OPERATIONS PRINCIPAL | 2246513 |
| MOSS, LAURI LYNN | PRESIDENT, CEO, AND DIRECTOR | 1377807 |
| PIRACHA, AMENA | SECRETARY | |
| SABOW, DAVID MICHAEL | DIRECTOR | 5138501 |
| SCHNITZ, JEFFREY NAYLOR | DIRECTOR | 2659365 |
Red Flags
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