Sean P. Shaughnessey
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 Shaughnessey was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1995. Sean had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 3 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
February 24, 2015 - November 15, 2016
MAIN STREET ADVISORS, LLC
September 9, 2014 - August 10, 2016
INDEPENDENT FINANCIAL GROUP, LLC
June 30, 2014 - August 10, 2016
INDEPENDENT FINANCIAL GROUP, LLC
April 5, 2010 - May 10, 2011
PROSPERA FINANCIAL SERVICES, INC.
March 30, 2010 - May 10, 2011
PROSPERA FINANCIAL SERVICES, INC.
June 25, 2007 - April 5, 2010
FIRST ALLIED SECURITIES, INC.
June 20, 2007 - April 5, 2010
FIRST ALLIED SECURITIES, INC.
October 24, 2005 - June 28, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 24, 2005 - June 28, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 15, 2002 - October 27, 2005
LPL FINANCIAL LLC
March 8, 2002 - October 27, 2005
LPL FINANCIAL LLC
June 4, 1998 - March 18, 2002
A. G. EDWARDS & SONS, INC.
September 19, 1995 - June 3, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MAIN STREET ADVISORS, LLC
CRD#: 116303 / SEC#: 801-69101
Contact information
Regulatory assets under management
| Total Number of Accounts | 441 |
| AUM (Assets Under Management) | $ 59,618,537 |
Red Flags
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