Sean P. Mahoney
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 Mahoney was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1998. Sean had worked at 7 firms and has passed the Series 65, 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
May 20, 2011 - June 12, 2018
WESTERN INTERNATIONAL SECURITIES, INC.
May 20, 2011 - June 12, 2018
WESTERN INTERNATIONAL SECURITIES, INC.
November 13, 2006 - June 6, 2011
LPL FINANCIAL LLC
November 10, 2006 - June 6, 2011
LPL FINANCIAL LLC
April 10, 2006 - November 10, 2006
SMART INVESTMENTS ADVISORY INCORPORATED
April 10, 2006 - November 10, 2006
THE SEIDLER COMPANIES INCORPORATED
April 4, 2005 - September 30, 2005
SLOAN SECURITIES CORP.
September 12, 2003 - March 31, 2005
GUNNALLEN FINANCIAL, INC
September 12, 2003 - March 31, 2005
GUNNALLEN FINANCIAL, INC
August 25, 2000 - September 23, 2003
PIPER SANDLER & CO.
December 7, 1998 - September 23, 2003
PIPER SANDLER & CO.
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
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
