Sean N. Harte

BRADESCO SECURITIES

New York, NY 10022

Some features on this profile are disabled

CRD#: 2784670

Professional summary

Sean Neal Harte is a registered financial professional currently at BRADESCO SECURITIES, INC. located in New York, New York.

Sean is registered as a RR (Registered Representative) and started their career in finance in 1996. Sean has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 Neal Harte's 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

December 3, 2012 - Present

BRADESCO SECURITIES, INC.

Office #1: 450 Park Avenue 32nd Floor, New York, NY 10022

CRD#: 104347

New York, NY

Past

December 8, 2010 - October 5, 2012

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

February 10, 2004 - October 14, 2010

UBS SECURITIES LLC

CRD#: 7654

STAMFORD, CT

Past

December 14, 1999 - February 11, 2004

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

October 8, 1996 - December 22, 1999

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

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

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

New York
(12/3/2012)

Exams

State Security Law Exam

Series 63

Date: 10/18/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/28/2000

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 4/22/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 10/7/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/31/2011

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

BRADESCO SECURITIES, INC.

BRADESCO BBI | BRADESCO SECURITIES, INC.

CRD#: 104347 / SEC#: , 8-52806

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

450 Park Avenue 32nd Floor, New York, NY 10022

Mailing Address

450 Park Avenue 32nd Floor, New York, NY 10022

Phone number

(212) 888-9142

Established

Delaware since 04/28/2000

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BANCO BRADESCO S.A.	SOLE SHAREHOLDER OF APPLICANT'S COMMON STOCK
BEHAR, ISABELA MARTA	CHIEF COMPLIANCE OFFICER	2940509
BOETGER, BRUNO D'AVILA MELO	CHAIRMAN OF THE BOARD OF DIRECTORS	2505487
DOHERTY, JAMES HUGH	PRINCIPAL OPERATIONS OFFICER	4197747
MARQUES, RUI MIGUEL ALEIXO	VICE-CHAIRMAN OF THE BOARD OF DIRECTORS	7304773
PORTNOFF, DAVID ROSS	FINANCIAL AND OPERATIONS PRINCIPAL / PRINCIPAL FINANCIAL OFFICER	2977967
REITZFELD, FERNANDO RAIZ	CHIEF EXECUTIVE OFFICER / MEMBER OF THE BOARD OF DIRECTORS	7514819

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.

Similar Advisors

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Sean N. Harte

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sean Neal Harte's CRS (Customer Relationship Summary).

Certified licenses

Experience

NOMURA SECURITIES INTERNATIONAL, INC.

UBS SECURITIES LLC

GOLDMAN SACHS & CO. LLC

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/18/1996

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 3/28/2000

Series 55

Date: 4/22/1999

Series 7

Date: 10/7/1996

Series 24

Date: 1/31/2011

FINRA

Nasdaq Stock Market

Current Firm

BRADESCO SECURITIES, INC.

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BRADESCO SECURITIES, INC.

TRUST BUT VERIFY

Similar Advisors