Sean C. Winter
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 Christopher Winter was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1998. Sean had worked at 12 firms and has passed the Series 63, SIE 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
February 7, 2023 - August 28, 2023
PATRICK CAPITAL MARKETS, LLC
April 22, 2020 - February 8, 2021
THE LEADERS GROUP, INC.
November 1, 2018 - September 26, 2019
FRONTIER SOLUTIONS, LLC
April 1, 2016 - June 29, 2017
BIC DISTRIBUTORS, LLC
June 17, 2013 - August 7, 2014
FORESIDE FUND SERVICES, LLC
February 16, 2012 - June 14, 2013
QUASAR DISTRIBUTORS, LLC
September 29, 2010 - January 23, 2012
GOOD HARBOR FINANCIAL
October 6, 2007 - May 12, 2008
DEAM INVESTOR SERVICES, INC.
June 15, 2004 - September 30, 2010
DWS DISTRIBUTORS, INC.
October 4, 2002 - June 25, 2003
EVERLAKE DISTRIBUTORS, LLC
August 3, 2000 - October 4, 2002
AFD, INC.
March 31, 1998 - July 14, 2000
INVESCO CAPITAL MARKETS, 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
Current Firm
PATRICK CAPITAL MARKETS, LLC
CRD#: 16518 / SEC#: , 8-34099
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAXONY FINANCIAL HOLDINGS, LLC. | SOLE OWNER/ MEMBER | |
| CLARK, BRIAN LESLEY | PRESIDENT, CEO, AND CFO | 4802438 |
| KLUMP, RYAN CHRISTOPHER | SENIOR VICE PRSIDENT | 4762698 |
| MATARAZZI, NATHAN DOMENICO | FINOP, POO AND PFO | 4827090 |
| MITCHELL, JARAD BYRAM | COO | 4811305 |
| WEBSTER, TERRANCE MICHAEL | CHIEF COMPLIANCE OFFICER | 6826889 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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