Sean S. Scharnikow
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 Steven Scharnikow, who also goes by Sean S Scharnikow, 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, SIE, Series 55, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2011 - January 22, 2016
SCHOTTENFELD GROUP LLC
August 3, 2009 - January 24, 2017
KOYOTE TRADING LLC
September 13, 2004 - October 9, 2009
SCHOTTENFELD GROUP LLC
January 17, 2003 - March 16, 2004
SCHONFELD SECURITIES, LLC
October 30, 2001 - August 7, 2002
GOLDMAN SACHS & CO. 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 55
Date: 11/9/2001
Limited Representative-Equity Trader ExamCurrent Firm
SCHOTTENFELD GROUP LLC
CRD#: 128103 / SEC#: , 8-66088
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHOTTENFELD, RICHARD PAUL | MANAGING MEMBER, CEO | 1280443 |
| KOCH, DAVID KENNETH | VICE PRESIDENT & SECRETARY, MEMBER | 2422912 |
| WEISS, RONALD MICHAEL | PRESIDENT, MEMBER | 462488 |
| ROSEN, LUCAS GABRIEL | MEMBER | 2443280 |
| RISI, SALVATORE ANTHONY | CHIEF FINANCIAL OFFICER/FINOP | 1072513 |
| WADE, RICHARD JOSEPH JR | CHIEF COMPLIANCE OFFICER | 1455700 |
| WEISS, BRYAN EVAN | MEMBER | 4439851 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 2 |
Red Flags
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