Sean C. Gormley
Professional summary
Sean Carbone Gormley, who also goes by Sean Carbone Gormley, Sean C Gormley, is a registered financial professional currently at FINALIS 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 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sean Carbone Gormley's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 12, 2024 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003March 7, 2019 - October 4, 2024
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 7, 2003 - March 4, 2019
B. RILEY SECURITIES, 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
(11/12/2024)
(5/28/2025)
(5/28/2025)
(5/28/2025)
Exams
FINRA
Current Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
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