Sean M. Farhy
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 M Farhy was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1997. Sean had worked at 4 firms and has passed the Series 65, Series 66, Series 63, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2010 - September 26, 2013
RHODES CAPITAL MANAGEMENT, INC
November 27, 2002 - December 14, 2005
JANNEY MONTGOMERY SCOTT LLC
January 12, 2001 - December 2, 2002
MORGAN STANLEY DW INC.
September 18, 1997 - December 19, 1997
VANGUARD MARKETING CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
RHODES CAPITAL MANAGEMENT, INC
CRD#: 146518 / SEC#:
Contact information
Red Flags
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