SW
Sean B. Walsh
CBOE TRADING
Overland Park, KS 66211
Some features on this profile are disabled
CRD#: 3155507
SW
Professional summary
Sean Bernard Walsh is a registered financial professional currently at CBOE TRADING, INC. located in Overland Park, Kansas.
Sean is registered as a RR (Registered Representative) and started their career in finance in 1999. Sean has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 21, Series 7, Series 25 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Sean Bernard Walsh'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®
NoneExperience
Current
January 12, 2015 - Present
CBOE TRADING, INC.
Office #1: 6800 West 115th Street Suite 260, Overland Park, KS 66211BD
CRD#: 136734
Overland Park, KS
Past
January 14, 2009 - January 13, 2015
DE ROUTE
BD
CRD#: 135981
NEW YORK, NY
Past
April 23, 2001 - January 29, 2007
BEAR WAGNER SPECIALISTS LLC
BD
CRD#: 32691
NEW YORK, NY
Past
October 9, 1999 - April 23, 2001
WSM HOLDINGS, L.L.C.
BD
CRD#: 31352
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
Kansas(1/12/2015)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/8/2015
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
RR
Series 21
Date: 7/20/2000
NYSE Front Line Specialist ClerkGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 25
Date: 10/21/1999
NYSE Trading Assistant ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
CT
CBOE TRADING, INC.
BATS TRADING, INC. | CBOE TRADING, INC.
CRD#: 136734 / SEC#: , 8-67043
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
6800 West 115th Street Suite 260, Overland Park, KS 66211
Mailing Address
6800 West 115th Street Suite 260, Overland Park, KS 66211
Phone number
(913) 815-7000
Established
Delaware since 06/16/2005
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CBOE SERVICES COMPANY | OWNER | |
| CHMIELEWSKI, COLE MICHAEL | PRESIDENT | 5740206 |
| GOODMAN, SYDNEY LINDEN | FINOP | 7092589 |
| ISAACSON, CHRISTOPHER ANDREW | DIRECTOR | 5015729 |
| SEXTON, JOHN PATRICK | SECRETARY | 7152089 |
| UPP, WILLIAM BRYAN | CHIEF COMPLIANCE OFFICER | 2976682 |
| WILKINSON, ALLEN LLOYD | VICE PRESIDENT | 7432624 |
| YEAZEL, TROY CHARLES | DIRECTOR | 5492474 |
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CBOE TRADING, INC.
CRD#: 136734Overland Park, KS 66211TRUST BUT VERIFY
Monitor Sean Walsh
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
