Sean T. Doyle
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 Thomas Doyle was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1992. Sean had worked at 7 firms and has passed the Series 63 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
November 25, 2013 - August 20, 2014
EQUINOX SECURITIES, INC.
November 18, 2009 - April 16, 2012
BMA SECURITIES, LLC
May 16, 2008 - November 16, 2009
LIGHTHOUSE FINANCIAL GROUP, LLC
March 18, 2003 - May 22, 2008
SEABOARD SECURITIES, INC.
May 1, 2000 - March 19, 2003
UBS FINANCIAL SERVICES INC.
April 25, 1997 - April 28, 2000
J.P. MORGAN SECURITIES LLC
November 12, 1992 - April 30, 1997
CITIGROUP GLOBAL MARKETS 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
Current Firm
EQUINOX SECURITIES, INC.
CRD#: 145790 / SEC#: , 8-67752
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQUINOX CAPITAL HOLDINGS, INC. | OWNER | |
| OLIVEIRA, STEPHEN MICHAEL | PRESIDENT/CFO/CCO/MSRB/AMLCO | 1880054 |
Disclosures
| Regulatory Event | 2 |
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.
