Sean P. Maher

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CRD#: 2389614

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 Patrick Maher was a registered financial professional .

Sean is a previously registered financial professional and started their career in finance in 1993. Sean had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 9, 2007 - November 17, 2017

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

NEW YORK, NY

Past

December 19, 2005 - May 23, 2007

CLEARBRIDGE INVESTMENTS, LLC

RIA

CRD#: 137028

NEW YORK, NY

Past

December 1, 2005 - May 23, 2007

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

STAMFORD, CT

Past

July 5, 2005 - December 19, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

STAMFORD, CT

Past

July 5, 2005 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 1, 2004 - May 2, 2005

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

WINDSOR, CT

Past

February 2, 1999 - September 3, 2004

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

Past

October 12, 1998 - January 6, 1999

RIVERSOURCE SERVICES, INC.

CRD#: 37341

MINNEAPOLIS, MN

Past

January 1, 1997 - October 20, 1998

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

Past

April 26, 1995 - November 29, 1996

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

May 31, 1994 - February 23, 1995

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

May 31, 1994 - February 23, 1995

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

September 29, 1993 - November 1, 1993

L.C. WEGARD & CO., INC.

CRD#: 3722

NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/19/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/30/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/17/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/27/1993

General Securities Representative Examination

Current Firm

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567 / SEC#: , 8-41811

Terminated by SEC on 03/01/2023

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 11/20/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ALLIANZ GLOBAL INVESTORS U.S. HOLDINGS LLC	SOLE MEMBER
GHANI, VISHAN	FINANCIAL OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER	7190513
OCHOCO, JONATHAN GUERRERO	CHIEF COMPLIANCE OFFICER	6850835

Disclosures

Regulatory Event	2
Civil Event	2

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.

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Advisor Monitoring

Firm Stability Insights

Sean P. Maher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CLEARBRIDGE INVESTMENTS, LLC

FRANKLIN DISTRIBUTORS, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

VOYA INVESTMENTS DISTRIBUTOR, LLC

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

RIVERSOURCE SERVICES, INC.

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

TD AMERITRADE, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

L.C. WEGARD & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/19/2001

Series 63

Date: 9/30/1993

SIE

Date: 11/17/2017

Series 7

Date: 9/27/1993

Current Firm

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

TRUST BUT VERIFY

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