Sean P. Masterson
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 P Masterson was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2003. Sean had worked at 4 firms and has passed the Series 63, Series 66, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2012 - October 4, 2013
FREESTONE SECURITIES, LLC
June 25, 2008 - November 26, 2008
CION SECURITIES, LLC
April 2, 2007 - May 30, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - May 30, 2008
MORGAN STANLEY & CO. LLC
March 2, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
April 16, 2003 - March 1, 2004
MORGAN STANLEY DW INC.
March 6, 2003 - April 2, 2007
MORGAN STANLEY DW INC.
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
FREESTONE SECURITIES, LLC
CRD#: 124260 / SEC#: , 8-65650
Contact information
Documents
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.
