Sean Rivera
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 Rivera was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1997. Sean had worked at 5 firms and has passed the Series 63, Series 55, Series 7 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
November 26, 2012 - October 4, 2013
FGC SECURITIES, LLC
February 24, 2012 - January 4, 2013
COHEN & COMPANY SECURITIES, LLC
October 18, 2011 - February 17, 2012
COHEN & COMPANY CAPITAL MARKETS, LLC
September 4, 2007 - February 23, 2010
CREDIT SUISSE SECURITIES (USA) LLC
December 18, 1997 - August 28, 2007
MORGAN STANLEY & CO. LLC
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: 12/18/2002
Limited Representative-Equity Trader ExamCurrent Firm
FGC SECURITIES, LLC
CRD#: 158399 / SEC#: , 8-68897
Contact information
FINRA licenses (14 States and Territories)
Documents
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.
