Sean P. Ryan
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.
Sean P Ryan, who also goes by Sean P Ryan, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2001. Sean had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2004 - August 11, 2004
ASG SECURITIES, INC.
June 24, 2003 - July 19, 2004
LH ROSS & COMPANY, INC.
March 5, 2003 - July 21, 2003
STERLING FINANCIAL INVESTMENT GROUP, INC.
February 26, 2002 - March 19, 2003
LH ROSS & COMPANY, INC.
December 4, 2001 - March 22, 2002
SALOMON GREY FINANCIAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ASG SECURITIES, INC.
CRD#: 44534 / SEC#: , 8-50730
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FUGLER, MICHAEL ROY | VICE CHAIRMAN | 2947789 |
| VP PERFORMANCE TRUST | SHAREHOLDER | |
| CANTRELL, WILLIAM KEY | EVP CCO | 811596 |
| DEPELISI, JAMES | EVP COO | 2339793 |
| FISCHER, KAREN ZILLIA | FIN OP | 1708090 |
| LDV CONSULTING, INC. | SHAREHOLDER | |
| ROBINSON, WILLIAM CARL | TRUSTEE, VPPT | |
| SCILLIA, MICHAEL VINCENT | DIRECTOR, CHAIRMAN, FINRA EXECUTIVE REPRESENTATIVE | 416774 |
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
