Sean M. Mcauley
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 Michael Mcauley, who also goes by Sean M Mcauley, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1989. Sean had worked at 8 firms and has passed the Series 63, Series 7TO, SIE, 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
April 11, 2017 - July 11, 2024
TP ICAP GLOBAL MARKETS AMERICAS LLC
January 3, 2011 - April 17, 2017
TULLETT PREBON FINANCIAL SERVICES LLC
August 1, 2000 - January 18, 2011
NEWEDGE USA, LLC
July 1, 1998 - August 1, 2000
COWEN AND COMPANY
November 8, 1996 - July 1, 1998
FINANCIAL SQUARE PARTNERS
February 22, 1995 - October 22, 1996
CHAPDELAINE CORPORATE SECURITIES & CO
June 11, 1993 - March 2, 1995
CEDAR STREET SECURITIES CORP.
November 21, 1989 - June 10, 1991
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
TP ICAP GLOBAL MARKETS AMERICAS LLC
CRD#: 2762 / SEC#: , 8-12726
Contact information
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 31 |
Red Flags
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