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Sean N. Healy

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CRD#: 2439320
SH

Professional summary

Sean Nathan Healy was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Sean is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Sean had worked at 4 firms, which includes GURU INVESTMENT SERVICES LTD., BARRON CHASE SECURITIES INC., GKN SECURITIES CORP., STRATTON OAKMONT INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sean N Healy

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

March 22, 2001 - October 15, 2001

GURU INVESTMENT SERVICES, LTD.

BD
CRD#: 104372
HAUPPAUGE, NY
Past

February 25, 1997 - June 19, 1997

BARRON CHASE SECURITIES, INC.

BD
CRD#: 18969
BOCA RATON, FL
Past

June 24, 1996 - January 27, 1997

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY
Past

January 11, 1996 - July 17, 1996

STRATTON OAKMONT INC.

BD
CRD#: 18692
LAKE SUCCESS, 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
RR
Series 63
Date: 3/1/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 62
Date: 3/21/2001
Corporate Securities Limited Representative Examination

Current Firm

GI
GURU INVESTMENT SERVICES, LTD.
GURU INVESTMENT SERVICES, LTD.

CRD#: 104372 / SEC#: , 8-52853

BD
Terminated by SEC on 12/14/2001
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/21/2000
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SANICOLA, ANTHONY THOMASPRESIDENT/SECRETARY/FINOP2938590
FRANKOVIC, SHANE IVANJR. PARTNER2817248
HEALY, SEAN NATHANJR. PARTNER2439320

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

GURU INVESTMENT SERVICES, LTD.

CRD#: 104372

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