Sean M. Tobin
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 Michael Tobin 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 63, 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
August 8, 2008 - November 15, 2019
CREDIT SUISSE SECURITIES (USA) LLC
August 8, 2008 - November 15, 2019
CREDIT SUISSE SECURITIES (USA) LLC
June 17, 2005 - August 23, 2006
LPL FINANCIAL LLC
June 17, 2005 - August 23, 2006
LPL FINANCIAL LLC
August 14, 2002 - June 23, 2005
OSAIC FA, INC.
June 27, 2001 - June 23, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 27, 2001 - June 23, 2005
OSAIC FA, INC.
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
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
