Sean S. Mckenzie
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 Symons Mckenzie 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 65, Series 66, Series 31 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
August 26, 2011 - December 5, 2012
FLEMING CAPITAL PARTNERS
November 8, 2004 - July 6, 2005
E*TRADE SECURITIES LLC
September 9, 2002 - October 19, 2004
CHARLES SCHWAB & CO., INC.
September 5, 2002 - October 19, 2004
CHARLES SCHWAB & CO., INC.
March 14, 2001 - August 8, 2002
MORGAN STANLEY DW INC.
March 7, 2001 - August 8, 2002
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FLEMING CAPITAL PARTNERS
CRD#: 154455 / SEC#:
Contact information
Red Flags
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