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Sean M. Boswick

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CRD#: 2491980
SB

Professional summary

Sean Morgan Storm Boswick was barred by the FINRA 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 1994. Prior to being barred, Sean had worked at 4 firms, which includes BROCK SECURITIES LLC, ECHOTRADE LLC, COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS INC., GOLDMAN SACHS & CO. LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sean Morganstorm Boswick | Sean Storm Boswick | Storm Boswick

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

December 22, 2011 - May 7, 2021

BROCK SECURITIES LLC

BD
CRD#: 122156
NEW YORK, NY
Past

February 18, 2010 - December 31, 2011

ECHOTRADE LLC

BD
CRD#: 42239
PHOENIX, AZ
Past

September 14, 2009 - March 17, 2010

BROCK SECURITIES LLC

BD
CRD#: 122156
NEW YORK, NY
Past

July 2, 1996 - March 19, 2003

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

BD
CRD#: 840
BOSTON, MA
Past

June 22, 1994 - May 22, 1996

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
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
RR
Series 63
Date: 7/11/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/30/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/21/1994
General Securities Representative Examination

Current Firm

BS
BROCK SECURITIES LLC
BROCK FINANCIAL SERVICES LLC | BROCK SECURITIES LLC

CRD#: 122156 / SEC#: , 8-65467

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

Main Address
505 Park Ave 14th Floor, New York, NY 10022
Mailing Address
505 Park Ave 14th Floor, New York, NY 10022
Phone number
(212) 209-3000
Established
Delaware since 07/12/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BROCK CAPITAL GROUP LLCMANAGING MEMBER
BROCK, CHARLES LAWRENCECHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER5758862
HOPKINS, THOMAS JOHNFINOP1835087

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.

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Company Information

BROCK SECURITIES LLC

CRD#: 122156

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