Sean J. Kelly
Professional summary
Sean Joseph Kelly was barred by 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 2000. Prior to being barred, Sean had worked at 7 firms, which includes CENTER STREET SECURITIES INC., CAPITAL FINANCIAL SERVICES INC., SECURITIES AMERICA INC., UNITED SECURITIES ALLIANCE INC., CONCOURSE FINANCIAL GROUP SECURITIES INC., USALLIANZ SECURITIES INC., PFS INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2017 - October 25, 2018
CENTER STREET SECURITIES, INC.
August 17, 2012 - August 15, 2017
CAPITAL FINANCIAL SERVICES, INC.
December 17, 2010 - August 17, 2012
SECURITIES AMERICA, INC.
February 28, 2007 - December 17, 2010
CAPITAL FINANCIAL SERVICES, INC.
September 15, 2006 - February 28, 2007
UNITED SECURITIES ALLIANCE, INC.
February 1, 2006 - September 29, 2006
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 13, 2002 - February 9, 2006
USALLIANZ SECURITIES, INC.
November 2, 2000 - August 13, 2002
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Exams
Current Firm
CENTER STREET SECURITIES, INC.
CRD#: 26898 / SEC#: , 8-42786
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Criminal | 1 |
| Arbitration | 7 |
Red Flags
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