Sean A. Young
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 Anthony Young was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1993. Sean had worked at 13 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2013 - June 6, 2014
GLOBAL ARENA CAPITAL CORP
July 13, 2011 - April 1, 2013
GLOBAL ARENA CAPITAL CORP
September 12, 2008 - May 13, 2011
WESTPARK CAPITAL, INC.
February 15, 2008 - April 17, 2008
NEWBRIDGE SECURITIES CORPORATION
September 4, 2007 - December 18, 2007
DAWSON JAMES SECURITIES, INC.
July 25, 2005 - December 21, 2005
J.P. TURNER & COMPANY, L.L.C.
July 3, 2003 - February 27, 2004
AURA FINANCIAL SERVICES, INC.
April 5, 2001 - December 18, 2001
WALLSTREET*E FINANCIAL SERVICES, INC.
November 25, 1997 - February 22, 2001
AMERICAN INVESTMENT SERVICES, INC.
March 4, 1996 - August 27, 1997
MEYERS POLLOCK ROBBINS, INC.
May 15, 1995 - December 13, 1995
ROBERT THOMAS SECURITIES, INC
April 18, 1994 - May 17, 1995
JOSEPHTHAL & CO., INC.
November 22, 1993 - March 15, 1994
BURNETT, GREY & CO., INC.
August 6, 1993 - November 17, 1993
CHATFIELD DEAN & CO., 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
GLOBAL ARENA CAPITAL CORP
CRD#: 16871 / SEC#: , 8-34661
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Financial | 1 |
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.
