Sean Lindenbaum
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 Lindenbaum, who also goes by Sean Farrell Lindenbaum, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1993. Sean had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2022 - April 13, 2026
DYNASTY SECURITIES, LLC
August 6, 1993 - January 6, 2021
TD AMERITRADE, INC.
May 10, 1993 - August 10, 1993
CIBC WORLD MARKETS CORP.
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 8
Date: 2/18/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DYNASTY SECURITIES, LLC
CRD#: 159076 / SEC#: , 8-68962
Contact information
FINRA licenses (6 States and Territories)
Documents
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.
