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Sean K. Hannon

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CRD#: 4296260
SH

Professional summary

Sean K Hannon was barred by the FINRA 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 2001. Prior to being barred, Sean had worked at 3 firms, which includes WALLSTREET*E FINANCIAL SERVICES INC., EPIC ADVISORS L.L.C., GOLDMAN SACHS & CO. LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sean K. Hannon

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)

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

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

Past

October 21, 2008 - April 30, 2010

WALLSTREET*E FINANCIAL SERVICES, INC.

BD
CRD#: 43896
CARY, NC
Past

November 3, 2006 - October 21, 2010

EPIC ADVISORS, L.L.C.

RIA
CRD#: 141328
CARY, NC
Past

February 5, 2001 - September 5, 2002

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/4/2008
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 10/23/2006
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/20/2008
General Securities Representative Examination

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
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 08/15/1997
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

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

Disclosures

Regulatory Event8
Arbitration1

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

WALLSTREET*E FINANCIAL SERVICES, INC.

CRD#: 43896

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