Sean F. Joy
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 Forde Joy, who also goes by Sean F Joy, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1992. Sean had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, Series 99TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2019 - March 24, 2021
TRUIST SECURITIES, INC.
May 22, 2013 - December 21, 2018
BNY MELLON CAPITAL MARKETS, LLC
March 14, 2013 - May 23, 2013
BONDS.COM LLC
April 14, 2010 - April 19, 2011
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
March 9, 2009 - January 29, 2010
GLOBAL EMERGING CAPITAL GROUP, LLC
August 31, 2006 - January 2, 2008
TULLETT LIBERTY BROKERAGE INC.
January 31, 2005 - June 27, 2005
CANTOR FITZGERALD & CO.
December 17, 2004 - August 8, 2006
CANTOR FITZGERALD & CO.
September 19, 2003 - December 17, 2004
CANTOR FITZGERALD SECURITIES
February 6, 2003 - September 10, 2003
MORGAN STANLEY DW INC.
December 20, 2002 - February 4, 2003
MORGAN STANLEY DW INC.
November 9, 2000 - September 10, 2003
MORGAN STANLEY DW INC.
April 20, 1999 - October 27, 2000
MORGAN STANLEY & CO. LLC
June 2, 1992 - April 22, 1999
MORGAN STANLEY DW INC.
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
Series 7TO
Date: 3/27/2024
General Securities Representative ExaminationSeries 99TO
Date: 3/27/2024
Operations Professional ExaminationCurrent Firm
TRUIST SECURITIES, INC.
CRD#: 6271 / SEC#: , 8-17212
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 1 |
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.
