Sean P. Kelly
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 Patrick Kelly was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2001. Sean had worked at 5 firms and has passed the Series 63, Series 3, Series 7TO, SIE 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 8, 2020 - October 30, 2020
OTCEX, LLC
June 28, 2019 - May 27, 2020
TRADITION SECURITIES AND DERIVATIVES LLC
July 19, 2007 - June 13, 2013
TFS DERIVATIVES LLC
November 15, 2006 - August 15, 2007
COLLINS STEWART INC.
July 18, 2005 - December 5, 2006
TULLETT PREBON FINANCIAL SERVICES LLC
November 7, 2001 - March 24, 2005
TFS DERIVATIVES LLC
February 15, 2001 - May 2, 2001
TFS DERIVATIVES LLC
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
Series 7TO
Date: 6/28/2019
General Securities Representative ExaminationCurrent Firm
OTCEX, LLC
CRD#: 165046 / SEC#: , 8-69129
Contact information
Documents
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.
