Sean K. Boyea

SIEBERT WILLIAMS SHANK & CO.

Sacramento, CA 95814

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CRD#: 1736577

Professional summary

Sean Kenichi Boyea is a registered financial professional currently at SIEBERT WILLIAMS SHANK & CO., LLC located in Sacramento, California.

Sean is registered as a RR (Registered Representative) and started their career in finance in 1988. Sean has worked at 7 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sean Kenichi Boyea's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 18, 2023 - Present

SIEBERT WILLIAMS SHANK & CO., LLC

Office #1: 500 Capitol Mall Suite 2350, Sacramento, CA 95814

CRD#: 42568

Sacramento, CA

Past

February 27, 2020 - January 3, 2023

UMB FINANCIAL SERVICES, INC.

CRD#: 17073

KANSAS CITY, MO

Past

July 2, 2012 - November 1, 2019

THE WILLIAMS CAPITAL GROUP, L.P.

CRD#: 35149

SACRAMENTO, CA

Past

November 18, 2008 - January 19, 2012

M. R. BEAL & COMPANY

CRD#: 22088

SACRAMENTO, CA

Past

September 16, 2005 - August 12, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

LOS ANGELES, CA

Past

May 16, 1995 - October 27, 1997

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

August 1, 1988 - January 30, 1995

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(1/17/2025)

California
(1/1/2025)

Exams

State Security Law Exam

Series 63

Date: 12/31/2024

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/10/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 10/22/2019

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SIEBERT WILLIAMS SHANK & CO., LLC

SIEBERT CISNEROS SHANK & CO., L.L.C. | SIEBERT, BRANDFORD, SHANK & CO., L.L.C. | SIEBERT WILLLIAMS SHANK | SIEBERT WILLIAMS SHANK & CO., LLC

CRD#: 42568 / SEC#: , 8-49877

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

100 Wall Street 18th Floor, New York, NY 10005

Mailing Address

100 Wall Street 18th Floor, New York, NY 10005

Phone number

(646) 775-4850

Established

Delaware since 03/10/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SHANK WILLIAMS CISNEROS, LLC	OWNER
CALABRISOTTO, DIANNE NMN	AML OFFICER	1273900
CALABRISOTTO, DIANNE NMN	CHIEF COMPLIANCE OFFICER & COO	1273900
CHANDA, ATEESH SINGH	CHIEF LEGAL OFFICER	6973151
DIAZ, DANIEL	FINANCIAL PRINCIPAL	2214417
HALL, GARY	CO-PRESIDENT	4393662
SHANK-WERDLOW, SUZANNE FRANCES	CEO, DIRECTOR OF PARENT	1860931
THOMPSON, WILLIAM COLRIDGE JR	CHIEF ADMINISTRATIVE OFFICER	2316101
WARNER, SOBANI MULENGA	CO-PRESIDENT	1732009

Disclosures

Regulatory Event

Red Flags

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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Advisor Monitoring

Firm Stability Insights

Sean K. Boyea

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sean Kenichi Boyea's CRS (Customer Relationship Summary).

Certified licenses

Experience

UMB FINANCIAL SERVICES, INC.

THE WILLIAMS CAPITAL GROUP, L.P.

M. R. BEAL & COMPANY

MORGAN STANLEY & CO. LLC

PIPER SANDLER & CO.

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/31/2024

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/10/2005

Series 53

Date: 10/22/2019

FINRA

Current Firm

SIEBERT WILLIAMS SHANK & CO., LLC

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SIEBERT WILLIAMS SHANK & CO., LLC

TRUST BUT VERIFY

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