Sean M. Grady
Professional summary
Sean Michael Grady, who also goes by Sean M Grady, is a registered financial professional currently at NYLIFE SECURITIES LLC located in Savannah, Georgia.
Sean is registered as a RR (Registered Representative) and started their career in finance in 1991. Sean has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sean Michael Grady's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 5, 2022 - Present
NYLIFE SECURITIES LLC
Office #1: 9 Park Of Commerce Blvd. Suite 200, Savannah, GA 31405September 18, 2019 - November 16, 2021
J.P. MORGAN SECURITIES LLC
September 18, 2019 - November 16, 2021
J.P. MORGAN SECURITIES LLC
March 27, 2017 - September 10, 2019
MORGAN STANLEY
March 15, 2017 - September 10, 2019
MORGAN STANLEY
February 3, 2014 - May 20, 2015
GUGGENHEIM SECURITIES, LLC
May 27, 2008 - April 13, 2012
UBS SECURITIES LLC
April 7, 1998 - March 31, 2008
CREDIT SUISSE SECURITIES (USA) LLC
April 23, 1996 - March 25, 1998
UBS SECURITIES LLC
July 12, 1991 - April 19, 1996
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/5/2022)
(4/8/2022)
Exams
Series 55
Date: 5/31/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
Red Flags
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