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SH

Sean C. Healey

NATIONAL BANK OF CANADA FINANCIAL
New York, NY 10022
Some features on this profile are disabled
CRD#: 3218329
SH

Professional summary

Sean Christopher Healey, who also goes by Sean C Healey, Sean Healey, is a registered financial professional currently at NATIONAL BANK OF CANADA FINANCIAL INC. located in New York, New York.

Sean is registered as a RR (Registered Representative) and started their career in finance in 1999. Sean has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sean C Healey | Sean Healey

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sean Christopher Healey'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®
None

Experience

Current

July 16, 2004 - Present

NATIONAL BANK OF CANADA FINANCIAL INC.

Office #1: 65 East 55th Street 8th Floor, New York, NY 10022
BD
CRD#: 22698
New York, NY
Past

April 26, 2011 - June 9, 2014

NBF SECURITIES (USA) CORP.

BD
CRD#: 25541
TORONTO,
Past

August 10, 2007 - August 4, 2008

NB GLOBAL TRADING, LLC

BD
CRD#: 143166
NEW YORK, NY
Past

May 14, 2001 - July 14, 2004

COMMERZBANK CAPITAL MARKETS CORP.

BD
CRD#: 21787
NEW YORK, NY
Past

January 27, 2000 - May 17, 2001

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

April 28, 1999 - August 29, 1999

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD

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
Alabama
(12/12/2005)
RR
Alaska
(12/12/2005)
RR
Arizona
(12/12/2005)
RR
Arkansas
(12/12/2005)
RR
California
(12/12/2005)
RR
Colorado
(12/12/2005)
RR
Connecticut
(12/12/2005)
RR
Delaware
(12/12/2005)
RR
District of Columbia
(12/12/2005)
RR
Florida
(12/12/2005)
RR
Georgia
(12/12/2005)
RR
Hawaii
(12/12/2005)
RR
Idaho
(12/12/2005)
RR
Illinois
(12/12/2005)
RR
Indiana
(12/12/2005)
RR
Iowa
(12/12/2005)
RR
Kansas
(12/12/2005)
RR
Kentucky
(12/12/2005)
RR
Louisiana
(12/12/2005)
RR
Maine
(12/12/2005)
RR
Maryland
(12/12/2005)
RR
Massachusetts
(12/12/2005)
RR
Michigan
(12/12/2005)
RR
Minnesota
(12/12/2005)
RR
Mississippi
(12/12/2005)
RR
Missouri
(12/12/2005)
RR
Montana
(12/12/2005)
RR
Nebraska
(12/12/2005)
RR
Nevada
(12/12/2005)
RR
New Hampshire
(12/12/2005)
RR
New Jersey
(12/12/2005)
RR
New Mexico
(12/12/2005)
RR
New York
(7/16/2004)
RR
North Carolina
(12/12/2005)
RR
North Dakota
(12/12/2005)
RR
Ohio
(12/13/2005)
RR
Oklahoma
(12/12/2005)
RR
Oregon
(12/12/2005)
RR
Pennsylvania
(12/12/2005)
RR
Puerto Rico
(12/12/2005)
RR
Rhode Island
(12/12/2005)
RR
South Carolina
(12/12/2005)
RR
South Dakota
(12/12/2005)
RR
Tennessee
(12/12/2005)
RR
Texas
(12/12/2005)
RR
Utah
(12/12/2005)
RR
Vermont
(12/12/2005)
RR
Virginia
(12/12/2005)
RR
Washington
(12/12/2005)
RR
West Virginia
(12/12/2005)
RR
Wisconsin
(12/12/2005)
RR
Wyoming
(12/12/2005)

Exams

State Security Law Exam
RR
Series 63
Date: 5/5/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 5/27/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 5/20/1999
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 4/27/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/10/2004
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/13/1999
Registered Options Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

NB
NATIONAL BANK OF CANADA FINANCIAL INC.
NATIONAL BANC FINANCIAL INC. | PUTNAM, LOVELL, DE GUARDIOLA & THORNTON INC. | PUTNAM, LOVELL & THORNTON INC. | PUTNAM LOVELL SECURITIES INC. | PUTNAM LOVELL NBF SECURITIES INC. | PUTNAM LOVELL NBF | NATIONAL BANK OF CANADA FINANCIAL INC.

CRD#: 22698 / SEC#: , 8-39947

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
65 East 55th Street 8th Floor, New York, NY 10022
Mailing Address
65 East 55th Street 8th Floor, New York, NY 10022
Phone number
(212) 546-7500
Established
Delaware since 06/01/1987
Firm type
Corporation
Fiscal year end
October
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
NATIONAL BANK OF CANADA FINANCIAL GROUP INC.SHAREHOLDER
BONDY, TODD RICHARDMANAGING DIRECTOR, CO-HEAD OF US FIXED INCOME SALES & TRADING2526622
DONNELLY, MICHAEL PATRICKMANAGING DIRECTOR, CO-HEAD OF US FIXED INCOME SALES & TRADING2530195
DUBUC, ETIENNECHAIRMAN OF BOARD, EQUITIES SALES SUPERVISOR6628432
GRABOVSKY, YURICHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, AND FINOP4149242
HEALEY, SEAN CHRISTOPHERPRESIDENT, CEO, CTO, MANAGING DIRECTOR, GLOBAL SECURITIES FINANCE, REGISTERED OPTIONS SECURITIES FUTURES PRINCIPAL3218329
HOOD, ANDREW PETERANTI-MONEY LAUNDERING COMPLIANCE OFFICER3008883
KATCHOUNI, ALAINMANAGING DIRECTOR AND HEAD OF EQUITIES4863032
LOCAS, YVES JOSEPHMANAGING DIRECTOR, HEAD OF U.S. DEBT SYNDICATION6038023
MCENTYRE, PATRICK MICHAELMANAGING DIRECTOR, INSTITUTIONAL EQUITY ELECTRONIC TRADING AND SERVICES4420353
MCGOWAN, KATIE MARIECHIEF COMPLIANCE OFFICER5111849
MILLER, ROBERT DENNISMANAGING DIRECTOR, HEAD OF U.S. DEBT CAPITAL MARKETS2991181
PETITTO, LOUIS ROBERTCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER6449700

Disclosures

Regulatory Event10

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

NATIONAL BANK OF CANADA FINANCIAL INC.

CRD#: 22698New York, NY 10022

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