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Sean K Hannon

CRD# 4296260·Registered 2001 - 2010
Barred: Sean K Hannon was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Sean K Hannon, who also goes by Sean K. Hannon, was a registered financial advisor. Sean was a previously registered financial advisor and started their career in finance 2001 - 2010. Sean had worked at 3 firms and has passed the Series 63, Series 65 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Sean K. Hannon

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

21 years in the financial services industry

Current & Past Employments

WALLSTREET*E FINANCIAL SERVICES, INC.·CRD# 43896
BD
Cary, NC
October 21, 2008 - April 30, 2010
EPIC ADVISORS, L.L.C.·CRD# 141328
RIA
Cary, NC
November 3, 2006 - October 21, 2010
GOLDMAN SACHS & CO. LLC·CRD# 361
BD
New York, NY
February 5, 2001 - September 5, 2002

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Current Firm

WF
WALLSTREET*E FINANCIAL SERVICES, INC.

WALLSTREET ELECTRONICA, INC. | WALLSTREETE FINANCIAL SERVICES | WALLSTREET*E FINANCIAL SERVICES, INC. | WALLSTREET*E

CRD#: 43896 / SEC#: 8-50464
BD
Terminated by SEC on 02/20/2011

Contact Information

Established

Florida since 08/15/1997

Firm Type

Corporation

Fiscal Year End

September

Documents

Direct owners and executive officers

NamePositionCRD#
OTALVARO, CARLOS FRANCISCOPRINCIPAL, FINOP, CCO, SROP/CROP2294420
OTALVARO, CARLOS NOECIO2942434

Disclosures

Regulatory Event

8

Arbitration

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 2008About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Oct 2006About the Series 65 exam

Series 7 — General Securities Representative Examination

Passed Oct 2008About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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