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SC

Sean M. Costello

BELZBERG CAPITAL
Westport, CT 06880
Some features on this profile are disabled
CRD#: 4197234
SC

Professional summary


Sean Michael Costello, who also goes by Sean Costello, is a registered financial professional currently at BELZBERG CAPITAL located in Westport, Connecticut.

Sean is registered as a RR (Registered Representative) and started their career in finance in 2007. Sean has worked at 4 firms and has passed the Series 63, Series 7TO, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Sean Costello

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 Michael Costello'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

October 27, 2023 - Present

BELZBERG CAPITAL

Office #1: 55 Post Road West Suite 244, Westport, CT 06880
BD
CRD#: 321600
Westport, CT
Past

March 25, 2022 - November 6, 2023

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

November 23, 2020 - March 25, 2022

MIZUHO SECURITIES USA LLC

BD
CRD#: 19647
NEW YORK, NY
Past

July 18, 2007 - April 1, 2015

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY

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
Connecticut
(12/13/2023)
RR
New York
(10/27/2023)

Exams


State Security Law Exam
RR
Series 63
Date: 11/20/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/24/2025
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 10/27/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 11/20/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA

Current Firm


BC
BELZBERG CAPITAL
BELZBERG CAPITAL | BELZBERG CAPITAL LLC

CRD#: 321600 / SEC#: , 8-70948

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


Main Address
589 Fifth Avenue Suite 1602, New York, NY 10017
Mailing Address
589 Fifth Avenue Suite 1602, New York, NY 10017
Phone number
(212) 390-9591
Established
Delaware since 04/30/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)


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

Documents


Direct owners and executive officers


NamePositionCRD#
BELZBERG & CO., LLCSOLE MEMBER
CHAN, TAI KWANCHIEF FINANCIAL OFFICER6047617
THEODORIDIS, CHRIS NMNCHIEF COMPLIANCE OFFICER7481212
VAN ITALLIE, JASON MICHAELPRINCIPAL4611534

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


BELZBERG CAPITAL

CRD#: 321600Westport, CT 06880

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