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SC

Sean P. Costello

HOLLISTER ASSOCIATES
MOUNT PLEASANT, SC
Some features on this profile are disabled
CRD#: 2638105
SC

Professional summary

Sean Patrick Costello is a registered financial professional currently at HOLLISTER ASSOCIATES, LLC located in Mount Pleasant, South Carolina.

Sean is registered as a RR (Registered Representative) and started their career in finance in 2009. Sean has worked at 3 firms and has passed the Series 66, SIE, Series 79TO and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Sean Patrick Costello's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

September 10, 2022 - Present

HOLLISTER ASSOCIATES, LLC

BD
CRD#: 173366
MOUNT PLEASANT, SC
Past

September 25, 2012 - October 11, 2013

ROYAL BANK OF CANADA INVESTMENT MANAGEMENT(USA) LIMITED

RIA
CRD#: 112284
LONDON,
Past

March 30, 2009 - April 27, 2012

BARCLAYS CAPITAL INC.

RIA
CRD#: 19714
LONDON,
Past

February 23, 2009 - April 27, 2012

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(9/12/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/27/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/9/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79TO
Date: 6/27/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 2/20/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HA
HOLLISTER ASSOCIATES, LLC
HOLLISTER ASSOCIATES, LLC

CRD#: 173366 / SEC#: , 8-69538

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

Main Address
257 River Oak Drive, Mount Pleasant, SC 29464
Mailing Address
257 River Oak Drive, Mount Pleasant, SC 29464
Phone number
(401) 465-3080
Established
South Carolina since 09/09/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HOLLISTER, CHRISTOPHER VERNCEO/CCO5637565
CLIFFHANGER INVESTMENTS, LLCOWNER
KUGLER, JACQUESOWNER5105697
MADABA INVESTMENTS, LLCOWNER
PORTWOOD, WILLIAM BOYCECFO/FINOP4853700

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

HOLLISTER ASSOCIATES, LLC

CRD#: 173366Mount Pleasant, SC

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