Sean J. Gambino
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 James Gambino, who also goes by Sean J Gambino, Sean Gambino, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1997. Sean had worked at 14 firms and has passed the Series 63, SIE, Series 25, Series 55, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2014 - July 6, 2015
ROTHSCHILD LIEBERMAN LLC
October 15, 2013 - October 15, 2014
GFI SECURITIES LLC
May 14, 2010 - January 30, 2013
KOYOTE TRADING LLC
February 12, 2009 - May 13, 2010
I-BANKERS SECURITIES, INC.
January 22, 2008 - October 3, 2008
LEGEND MERCHANT GROUP, INC.
March 9, 2007 - January 17, 2008
MINT BROKERS
March 9, 2007 - January 17, 2008
BGC FINANCIAL, L.P.
December 19, 2005 - February 21, 2007
JEFFERIES EXECUTION SERVICES, INC.
May 2, 2005 - December 21, 2005
LABRANCHE FINANCIAL SERVICES, LLC
January 31, 2005 - December 16, 2005
J.P. DALTON & ASSOCIATES, INC.
October 25, 2004 - January 31, 2005
WG TRADING COMPANY LIMITED PARTNERSHIP
January 2, 2003 - March 16, 2004
SCHONFELD SECURITIES, LLC
December 7, 2001 - January 24, 2002
SCHONFELD SECURITIES, LLC
July 18, 2000 - August 10, 2001
SCHONFELD SECURITIES, LLC
April 29, 1998 - April 5, 2000
ON-SITE TRADING, INC.
December 10, 1997 - April 22, 1998
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 25
Date: 6/7/2005
NYSE Trading Assistant ExaminationSeries 55
Date: 9/18/2004
Limited Representative-Equity Trader ExamCurrent Firm
ROTHSCHILD LIEBERMAN LLC
CRD#: 10030 / SEC#: , 8-26080
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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.
