Sean D. Premock
Professional summary
Sean Donald Premock was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Sean is a previously registered financial advisor and started their career in finance in 1999. Prior to being barred, Sean had worked at 3 firms, which includes KOVACK SECURITIES INC., KOVACK ADVISORS INC., WALNUT STREET SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2004 - August 15, 2006
KOVACK SECURITIES INC.
September 2, 2004 - December 3, 2010
KOVACK ADVISORS, INC.
June 29, 2001 - December 3, 2010
KOVACK SECURITIES INC.
November 2, 1999 - June 29, 2001
WALNUT STREET SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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