Sean M. Rapp
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 Michael Rapp, who also goes by Sean M Rapp, Sean Rapp, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1998. Sean had worked at 10 firms and has passed the Series 66, Series 6TO, Series 82TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2022 - April 9, 2024
SAYBRUS EQUITY SERVICES, LLC
August 4, 2021 - November 23, 2021
PRUCO SECURITIES, LLC.
August 4, 2021 - November 23, 2021
PRUCO SECURITIES, LLC.
August 30, 2019 - April 30, 2021
WADDELL & REED
August 27, 2019 - April 30, 2021
WADDELL & REED
July 24, 2018 - October 26, 2018
PRINCIPAL SECURITIES, INC.
May 8, 2018 - October 26, 2018
PRINCIPAL SECURITIES, INC.
August 29, 2016 - May 20, 2017
TKG FINANCIAL, LLC
December 8, 2006 - May 19, 2016
TRANSAMERICA CAPITAL, LLC
May 16, 2005 - June 2, 2006
JOHN HANCOCK DISTRIBUTORS LLC
May 15, 2003 - April 18, 2005
GUARANTY BROKERAGE SERVICES, INC.
February 20, 2001 - February 14, 2002
A. G. EDWARDS & SONS, INC.
November 24, 1998 - February 22, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsCurrent Firm
SAYBRUS EQUITY SERVICES, LLC
CRD#: 153319 / SEC#: , 8-68521
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAYBRUS HOLDINGS, LLC | PARENT COMPANY | |
| ALI, AZIZ | VICE PRESIDENT | 5030560 |
| CASSIDY, EDWARD WILLIAM JR | EXEC. VP / INTERNAL DIRECTOR | 1606787 |
| COSTENBADER, WALTER RUSSELL | FINOP | 1828345 |
| HALPERIN, JEFFREY PAUL | INTERNAL DIRECTOR | 2899327 |
| LOWE, MOIRA CRONAN | PRESIDENT / CEO / INTERNAL DIRECTOR | 4076427 |
| MOORE, GIDEON CLOYES | CHIEF LEGAL OFFICER | 7011735 |
| SADOWSKI, ADAM MARK | ASSISTANT VICE PRESIDENT | 4578505 |
| SIINO, KATHERINE MARY | AVP & CHIEF COMPLIANCE OFFICER | 1666402 |
| TOMKO, CHRISTINE | CFO, PFO, POO | 6989991 |
| VIETRI, MICHAEL JOSEPH | INTERNAL DIRECTOR | 1068983 |
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.
