Sean E. Mansfield
Professional summary
Sean Edward Mansfield was barred by 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 FINANCIAL COUNSELORS LLC, LPL FINANCIAL LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2002 - March 13, 2009
FINANCIAL COUNSELORS LLC
April 18, 2001 - July 30, 2002
LPL FINANCIAL LLC
December 7, 1999 - April 25, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current firm
No current employment
Red Flags
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