Sean R. Stevens
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 Richard Stevens MR. was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1991. Sean had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2013 - March 9, 2015
MCS CAPITAL MARKETS LLC
April 24, 2013 - March 9, 2015
KKR CAPITAL MARKETS LLC
January 3, 2012 - April 12, 2013
KEYBANC CAPITAL MARKETS INC.
November 1, 2010 - December 8, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 13, 2005 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
April 28, 2000 - November 30, 2001
MORGAN STANLEY & CO. LLC
September 5, 1997 - May 1, 2000
J.P. MORGAN SECURITIES INC.
July 5, 1996 - August 26, 1997
HAMPSHIRE SECURITIES CORPORATION
January 21, 1991 - August 3, 1995
MISSIONSQUARE WEALTH MANAGEMENT
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
Current Firm
MCS CAPITAL MARKETS LLC
CRD#: 151337 / SEC#: , 8-68358
Contact information
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERCHANT CAPITAL SOLUTIONS LLC | SOLE MEMBER | |
| KNOX, JOHN JOSEPH | PRINCIPAL OPERATING OFFICER | 2605046 |
| KNOX, JOHN JOSEPH | PRINCIPAL FINANCIAL OFFICER | 2605046 |
| KNOX, JOHN JOSEPH | CHIEF FINANCIAL OFFICER, FINANCIAL/OPERATIONS PRINCIPAL | 2605046 |
| SCHWARTZ, JEFFREY I. | CHIEF COMPLIANCE OFFICER | 4961301 |
| SMITH, ADAM | CHIEF EXECUTIVE OFFICER | 5748435 |
| THOMPSON, WILLIAM CADE | CHIEF OPERATING OFFICER | 4566364 |
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.
