Sean Mccarthy Mccooey
Professional Summary
Sean Mccarthy Mccooey is a registered financial advisor currently at THIRD SEVEN CAPITAL LLC located in Palm Beach Gardens, Florida. Sean is registered as a RR (Registered Representative) and started their career in finance in 1989. Sean has worked at 5 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
J.P. MORGAN SECURITIES LLC
TRUIST ADVISORY SERVICES, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
J.P. MORGAN SECURITIES LLC
TRUIST ADVISORY SERVICES, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
J.P. MORGAN SECURITIES LLC
TRUIST ADVISORY SERVICES, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
J.P. MORGAN SECURITIES LLC
TRUIST ADVISORY SERVICES, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Years of Experience
37 years in the financial services industry
Current & Past Employments
Similar Advisors
J.P. MORGAN SECURITIES LLC
TRUIST ADVISORY SERVICES, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
Current Firm
THIRD SEVEN CAPITAL ADVISORS | THIRD SEVEN CAPITAL, LLC | THIRD SEVEN CAPITAL LLC
Contact Information
Main Address
67 Holly Hill Lane Suite 8500, New York, NY 10022Mailing Address
67 Holly Hill Lane Suite 300c, Greenwich, CT 06830Phone Number
(917) 602-6153Established
Delaware since 07/06/2011Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
1Similar Advisors
J.P. MORGAN SECURITIES LLC
TRUIST ADVISORY SERVICES, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
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.
Similar Advisors
J.P. MORGAN SECURITIES LLC
TRUIST ADVISORY SERVICES, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
(3/9/2023)
(6/3/2019)
(10/22/2019)
(6/3/2019)
(6/4/2019)
(4/10/2017)
(6/2/2019)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
J.P. MORGAN SECURITIES LLC
TRUIST ADVISORY SERVICES, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
CRS (Client Relationship Summary) - BD
Click below to view Sean Mccarthy Mccooey's CRS (Customer Relationship Summary).
Similar Advisors
J.P. MORGAN SECURITIES LLC
TRUIST ADVISORY SERVICES, INC.
AMERIPRISE FINANCIAL SERVICES, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
