Sean A. Spearman
Professional summary
Sean Anthony Spearman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Sean is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Sean had worked at 7 firms, which includes MARTINEZ-AYME SECURITIES, ASCENDIANT CAPITAL MARKETS LLC, BMA SECURITIES LLC, BROCKINGTON SECURITIES INC., J. ALEXANDER SECURITIES INC., THE CAMELOT GROUP INC., AVIOR CAPITAL LLC.
Question & Answer
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2014 - December 26, 2014
MARTINEZ-AYME SECURITIES
March 17, 2011 - August 11, 2014
ASCENDIANT CAPITAL MARKETS, LLC
April 25, 2007 - February 28, 2011
BMA SECURITIES, LLC
January 8, 2004 - April 25, 2007
BROCKINGTON SECURITIES, INC.
January 2, 2003 - November 28, 2003
J. ALEXANDER SECURITIES, INC.
September 27, 2001 - February 4, 2002
THE CAMELOT GROUP, INC.
November 13, 2000 - September 13, 2001
AVIOR CAPITAL, LLC
State Registrations and Notice Filings
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Exams
Series 55
Date: 6/30/2001
Limited Representative-Equity Trader ExamSeries 62
Date: 11/11/2000
Corporate Securities Limited Representative ExaminationCurrent Firm
MARTINEZ-AYME SECURITIES
CRD#: 109838 / SEC#: , 8-53108
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
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