Sean J. Mccarthy
Professional summary
Sean James Mccarthy is a registered financial professional currently at SANTANDER US CAPITAL MARKETS LLC located in Stamford, Connecticut.
Sean is registered as a RR (Registered Representative) and started their career in finance in 2017. Sean has worked at 1 firm and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sean James Mccarthy's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 26, 2017 - Present
SANTANDER US CAPITAL MARKETS LLC
Office #1: One Dock Street Suite 400, Stamford, CT 06902State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
FINRA
Current Firm
SANTANDER US CAPITAL MARKETS LLC
CRD#: 150696 / SEC#: , 8-68282
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANTANDER CAPITAL HOLDINGS LLC | SOLE MEMBER | |
| LANE, JASON DEARMOND | CHIEF COMPLIANCE OFFICER | 2671708 |
| PACHECO, MERCEDES MARIA | CHIEF LEGAL OFFICER | 2909083 |
| PRIETO-MORENO, GERARDO | PRINCIPAL OPERATIONS OFFICER | 7295411 |
| SANTANGELO, MICHAEL JOHN | CFO | 4705334 |
| VITALE, PAUL N | FINOP, PRINCIPAL FINANCIAL OFFICER | 5909566 |
| WALSH, JOSEPH NORTON III | CEO | 2804671 |
Disclosures
| Regulatory Event | 5 |
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