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SM

Sean M. Mccooey

THIRD SEVEN CAPITAL LLC
Palm Beach Gardens, FL 33418
Some features on this profile are disabled
CRD#: 2355588
SM

Professional summary

Sean Mccarthy Mccooey is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Mccarthy Mccooey'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

March 10, 2017 - Present

THIRD SEVEN CAPITAL LLC

Office #1: 4822 Northlake Blvd B3, Palm Beach Gardens, FL 33418
BD
CRD#: 160209
Palm Beach Gardens, FL
Past

November 1, 2010 - March 11, 2015

COWEN PRIME SERVICES LLC

BD
CRD#: 153397
NEW YORK, NY
Past

December 4, 2009 - July 11, 2011

SANDERS MORRIS LLC

BD
CRD#: 20580
NEW YORK, NY
Past

October 30, 2009 - November 13, 2009

THE GRISWOLD COMPANY, INCORPORATED

BD
CRD#: 32944
NEW YORK, NY
Past

July 1, 1989 - January 3, 2007

LABRANCHE & CO. LLC

BD
CRD#: 32661
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
Connecticut
(3/9/2023)
RR
Florida
(6/3/2019)
RR
Georgia
(10/22/2019)
RR
Massachusetts
(6/3/2019)
RR
New Jersey
(6/4/2019)
RR
New York
(4/10/2017)
RR
Texas
(6/2/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 12/23/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 8/19/2013
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 3/11/1997
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TS
THIRD SEVEN CAPITAL LLC
THIRD SEVEN CAPITAL ADVISORS | THIRD SEVEN CAPITAL, LLC | THIRD SEVEN CAPITAL LLC

CRD#: 160209 / SEC#: , 8-69032

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
67 Holly Hill Lane Suite 8500, New York, NY 10022
Mailing Address
67 Holly Hill Lane Suite 300c, Greenwich, CT 06830
Phone number
(917) 602-6153
Established
Delaware since 07/06/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
THIRD SEVEN GROUP LLCHOLDING COMPANY
DIFIORE, MONICA LISACCO2966552
LEDGER, NICHOLAS MARKCEO/CFO6779287
SAKOL, DANIEL SCOTTFIN OP2813237

Disclosures

Regulatory Event1

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.

Company Information

THIRD SEVEN CAPITAL LLC

CRD#: 160209Palm Beach Gardens, FL 33418

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