Sean Patrick Moran
Professional Summary
Sean Patrick Moran was a registered financial advisor. Sean was a previously registered financial professional and started their career in finance 1991 - 2023. Sean had worked at 2 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
LAKESHORE SECURITIES, L.P.
Contact Information
Main Address
401 S. Lasalle #1000, Chicago, IL 60605Mailing Address
401 S. Lasalle Street #1000, Chicago, IL 60605Phone Number
(312) 663-1307Established
Illinois since 09/01/1982Firm Type
PartnershipFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CROSS VOL LLC | GENERAL PARTNER | — |
| FLP TRADING LLC | GENERAL PARTNER | — |
| GARZA, ALEXANDER BENJAMIN | LIMITED PARTNER | 4945272 |
| GREY WOLF CAPITAL LLC | GENERAL PARTNER | — |
| GANNON, MARK EDWARD | FINOP AND CCO | — |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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