Sean E. Smyth
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 Eugene Smyth was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2006. Sean had worked at 2 firms and has passed the Series 65, Series 63 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
January 8, 2015 - March 28, 2018
NORTHPOINTE CAPITAL LLC
April 21, 2010 - December 31, 2014
NORTHPOINTE CAPITAL LLC
October 3, 2006 - February 23, 2007
TAFFERER TRADING, LLC
State Registrations and Notice Filings
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Exams
Current Firm
NORTHPOINTE CAPITAL LLC
CRD#: 109383 / SEC#: 801-57064
Contact information
Red Flags
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