Sean P. Mcmanus
Professional summary
Sean Peter Mcmanus was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Sean is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Sean had worked at 2 firms, which includes D.L. CROMWELL INVESTMENTS INC., FOSTER JEFFRIES SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 1998 - October 30, 1998
D.L. CROMWELL INVESTMENTS, INC.
November 20, 1996 - June 29, 1998
FOSTER JEFFRIES SECURITIES, LLC
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 62
Date: 11/12/1996
Corporate Securities Limited Representative ExaminationCurrent Firm
D.L. CROMWELL INVESTMENTS, INC.
CRD#: 37730 / SEC#: , 8-47938
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
Red Flags
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