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SL

Sean J. Lynch

REGIONS SECURITIES LLC
Atlanta, GA 30309
Some features on this profile are disabled
CRD#: 3044042
SL

Professional summary

Sean J Lynch, who also goes by Sean Jermaine Lynch, is a registered financial professional currently at REGIONS SECURITIES LLC located in Atlanta, Georgia.

Sean is registered as a RR (Registered Representative) and started their career in finance in 1998. Sean has worked at 9 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sean Jermaine Lynch

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 J Lynch'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

July 27, 2021 - Present

REGIONS SECURITIES LLC

Office #1: 1180 W Peachtree Street Nw, Atlanta, GA 30309
BD
CRD#: 159475
Atlanta, GA
Past

May 16, 2016 - July 20, 2021

CITIZENS CAPITAL MARKETS

BD
CRD#: 277073
Atlanta, GA
Past

May 18, 2015 - May 16, 2016

CITIZENS SECURITIES, INC.

BD
CRD#: 39550
ATLANTA, GA
Past

October 1, 2008 - February 8, 2014

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
ATLANTA, GA
Past

June 10, 2005 - October 1, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
ATLANTA, GA
Past

May 20, 2004 - February 10, 2005

SOUTHTRUST SECURITIES, LLC

BD
CRD#: 17922
BIRMINGHAM, AL
Past

November 16, 2001 - March 12, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

December 18, 1998 - February 29, 2000

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

May 14, 1998 - December 18, 1998

CITICORP SECURITIES, INC.

BD
CRD#: 7474
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
Georgia
(7/27/2021)
RR
Maine
(10/20/2025)
RR
Wisconsin
(10/20/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 11/14/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/8/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RS
REGIONS SECURITIES LLC
REGIONS SECURITIES | REGIONS SECURITIES LLC

CRD#: 159475 / SEC#: , 8-68990

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309
Mailing Address
1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309
Phone number
(404) 279-7400
Established
Delaware since 10/12/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
RFC FINANCIAL SERVICES HOLDING LLCPARENT
AMIN, RITVIG NIPENDRACHAIRMAN OF THE BOARD & DIRECTOR2901218
GIARDINO, NEILCEO, PRESIDENT AND DIRECTOR2428962
HOLLOWAY, GLENN CHRISTOPHERFINOP, CFO, PFO, POO & DIRECTOR4566759
MAGGIORE, JILL WRIGHTCHIEF COMPLIANCE OFFICER & DIRECTOR1001068
MAXWELL, JASON MATTHEWCHIEF LEGAL OFFICER & DIRECTOR5997125

Disclosures

Regulatory Event1

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.

Company Information

REGIONS SECURITIES LLC

CRD#: 159475Atlanta, GA 30309

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