Sean P. Galvin
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 Patrick Galvin, who also goes by Sean P Galvin, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2006. Sean had worked at 5 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2020 - April 21, 2025
VIRTU AMERICAS LLC
September 4, 2018 - August 12, 2020
CANTOR FITZGERALD & CO.
September 4, 2018 - August 12, 2020
BGC FINANCIAL, L.P.
October 23, 2013 - June 11, 2014
OCTEG, LLC
October 19, 2009 - May 17, 2018
VIRTU AMERICAS LLC
June 6, 2006 - November 8, 2012
KNIGHT CAPITAL AMERICAS, L.P.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
VIRTU AMERICAS LLC
CRD#: 149823 / SEC#: , 8-68193
Contact information
FINRA licenses (51 States and Territories)
Documents
Disclosures
| Regulatory Event | 57 |
| Civil Event | 1 |
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.
