Sean V. Ohara
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 Vincent Ohara was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1988. Sean had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 1998 - March 27, 2000
SCHONFELD SECURITIES, LLC
August 27, 1997 - September 2, 1997
VISTA SECURITIES INC.
July 1, 1996 - October 31, 1997
BG CAPITAL, INC.
July 20, 1995 - October 6, 1995
FIRST EMPIRE SECURITIES, INC.
May 11, 1995 - June 7, 1995
KIRLIN SECURITIES INC.
August 30, 1994 - September 29, 1994
ROYCE INVESTMENT GROUP, INC.
February 23, 1988 - December 1, 1993
ROYCE INVESTMENT GROUP, INC.
State Registrations and Notice Filings
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Exams
Current Firm
SCHONFELD SECURITIES, LLC
CRD#: 23304 / SEC#: , 8-40148
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Arbitration | 1 |
Red Flags
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