Sean A. Mackenzie
Professional summary
Sean Andrew Mackenzie is a registered financial professional currently at OCEANUS SECURITIES, LLC located in New York, New York.
Sean is registered as a RR (Registered Representative) and started their career in finance in 2003. Sean has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sean Andrew Mackenzie's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 10, 2025 - Present
OCEANUS SECURITIES, LLC
Office #1: 521 Fifth Avenue 37th Floor, New York, NY 10175Office #2: 521 Fifth Avenue 37th Floor, New York, NY 10175December 9, 2024 - December 31, 2024
TD SECURITIES (USA) LLC
February 13, 2024 - December 9, 2024
COWEN AND COMPANY
September 3, 2019 - March 4, 2024
TD SECURITIES (USA) LLC
December 2, 2009 - June 15, 2019
BMO CAPITAL MARKETS CORP.
February 29, 2008 - September 25, 2009
RBC CAPITAL MARKETS, LLC
March 17, 2003 - February 29, 2008
RBC CAPITAL MARKETS 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
(3/10/2025)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/12/2004
Limited Representative-Equity Trader ExamFINRA
Current Firm
OCEANUS SECURITIES, LLC
CRD#: 133798 / SEC#: , 8-66772
Contact information
FINRA licenses (2 States and Territories)
Documents
Red Flags
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