Sean P. Brady
Professional summary
Sean Patrick Brady, who also goes by Sean Brady, is a registered financial professional currently at COMMERCE BROKERAGE SERVICES, INC. located in Kansas City, Missouri.
Sean is registered as a RR (Registered Representative) and started their career in finance in 1996. Sean has worked at 6 firms and has passed the Series 63, Series 79TO, Series 52TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sean Patrick Brady's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 3, 2020 - Present
COMMERCE BROKERAGE SERVICES, INC.
Office #1: 1000 Walnut 3rd Floor, Kansas City, MO 64106June 12, 2019 - October 29, 2020
NORTHLAND SECURITIES, INC.
May 29, 2007 - June 13, 2019
VINING-SPARKS IBG, LLC
January 4, 2005 - May 31, 2007
D.A. DAVIDSON & CO.
June 30, 2003 - January 1, 2005
KFS BD, INC.
April 2, 1996 - July 10, 2003
WILLIAM BLAIR
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/3/2020)
(11/3/2020)
(11/3/2020)
(5/15/2023)
(11/3/2020)
(11/3/2020)
(5/4/2023)
(11/18/2022)
(2/21/2024)
(11/3/2020)
(3/7/2023)
(11/3/2020)
(5/4/2023)
(11/3/2020)
(9/6/2024)
(11/3/2020)
(11/3/2020)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
COMMERCE BROKERAGE SERVICES, INC.
CRD#: 17140 / SEC#: 801-66509, 8-35096
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMERCE BANK | SOLE STOCKHOLDER | |
| CHMELKA, JOHN EMIL | PRINCIPAL OPERATIONS OFFICER | 2052962 |
| HARMON, THOMAS DARIN | PRESIDENT/CHIEF EXECUTIVE OFFICER | 7787415 |
| MOWER, MATHEW ROBERT | SENIOR VICE PRESIDENT | 3176197 |
| REECE, JOSEPH STEVEN | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 2227282 |
| ROWE, MARGARET | CORPORATE SECRETARY | 7576973 |
| SIMPSON, TIFFANY LYNN | TREASURER/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER | 6685507 |
| SWANSON, ERIK ANDREW | EXECUTIVE VICE PRESIDENT | 4170204 |
Regulatory assets under management
| Total Number of Accounts | 3,570 |
| AUM (Assets Under Management) | $ 650,363,405 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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