Evelyn B. Sen
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.
Evelyn Bridget Sen was a registered financial professional .
Evelyn is a previously registered financial professional and started their career in finance in 2012. Evelyn had worked at 1 firm and has passed the Series 99 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2012 - September 19, 2014
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
State Registrations and Notice Filings
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Current Firm
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
CRD#: 35878 / SEC#: , 8-47039
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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