Sean C. Dwyer

C. L. KING & ASSOCIATES

ALBANY, NY 12207

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CRD#: 2199449

Professional summary

Sean Christian Dwyer is a registered financial professional currently at C. L. KING & ASSOCIATES, INC. located in Albany, New York.

Sean is registered as a RR (Registered Representative) and started their career in finance in 1992. Sean has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sean Christian Dwyer's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 5, 2019 - Present

C. L. KING & ASSOCIATES, INC.

Office #1: Nine Elk Street, Albany, NY 12207

CRD#: 6183

ALBANY, NY

Past

February 25, 1997 - January 3, 2018

NEEDHAM & COMPANY, LLC

CRD#: 16360

NEW YORK, NY

Past

November 30, 1995 - February 24, 1997

BMO CAPITAL MARKETS CORP.

CRD#: 16686

NEW YORK, NY

Past

February 17, 1992 - December 20, 1995

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(4/14/2021)

New Jersey
(11/5/2019)

New York
(11/5/2019)

Exams

State Security Law Exam

IAR

Series 65

Date: 10/12/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/15/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 1/3/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/13/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 4/22/2010

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/26/2004

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

C. L. KING & ASSOCIATES, INC.

CRD#: 6183 / SEC#: , 8-17025

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

Nine Elk Street, Albany, NY 12207

Mailing Address

Nine Elk Street, Albany, NY 12207

Phone number

(518) 431-3555

Established

New York since 03/03/1972

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (36 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
WEIR, CANDACE KING	PRESIDENT/DIRECTOR, CEO	269796
WEIR, AMELIA FARLEY	SHAREHOLDER	1497338
WEIR, KATHERINE BROUSSARD	SHAREHOLDER	1497339
GIMON, RICHARD JAMES	CHIEF COMPLIANCE OFFICER, DIRECTOR	3217139
MCMILLEN, PETER JOHN	CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER	2061930
ZORIC, STEVEN	COO	4074487

Disclosures

Regulatory Event	7
Arbitration	2
Bond	1

Red Flags

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Firm Stability Insights

Sean C. Dwyer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sean Christian Dwyer's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEEDHAM & COMPANY, LLC

BMO CAPITAL MARKETS CORP.

FINANCIAL SQUARE PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 10/12/1992

Series 63

Date: 4/15/1992

Series 99TO

Date: 1/2/2023

SIE

Date: 1/3/2018

Series 7

Date: 2/13/1992

Series 4

Date: 4/22/2010

Series 24

Date: 1/26/2004

FINRA

Nasdaq Stock Market

Current Firm

C. L. KING & ASSOCIATES, INC.

Contact information

FINRA licenses (36 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

C. L. KING & ASSOCIATES, INC.

TRUST BUT VERIFY

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