Sean P. Britton
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 Britton was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1994. Sean had worked at 8 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2006 - May 4, 2009
FAGENSON & CO., INC.
January 18, 2005 - May 23, 2006
OLYMPUS SECURITIES, LLC
October 19, 2004 - January 13, 2005
BROKERAGEAMERICA, LLC
April 22, 2004 - October 29, 2004
LACONIA CAPITAL CORPORATION
April 2, 1999 - March 10, 2004
WESTMINSTER SECURITIES CORPORATION
February 13, 1997 - March 5, 1999
TRADE.COM ONLINE SECURITIES, INC.
February 1, 1996 - February 6, 1997
OPPENHEIMER & CO. INC.
April 21, 1994 - November 17, 1995
LADENBURG THALMANN & 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
Series 55
Date: 10/1/1998
Limited Representative-Equity Trader ExamCurrent Firm
FAGENSON & CO., INC.
CRD#: 1781 / SEC#: , 8-9952
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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