Sean W. Mollard

SUTTER SECURITIES

Boca Raton, FL 33431

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CRD#: 4691416

Professional summary

Sean Wesley Mollard is a registered financial professional currently at SUTTER SECURITIES INCORPORATED located in Boca Raton, Florida.

Sean is registered as a RR (Registered Representative) and started their career in finance in 2003. Sean has worked at 8 firms and has passed the Series 63, Series 62, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sean Wesley Mollard's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 17, 2021 - Present

SUTTER SECURITIES INCORPORATED

Office #1: 2500 N. Military Trail Suite 306, Boca Raton, FL 33431

CRD#: 30770

Boca Raton, FL

Past

January 15, 2021 - March 1, 2024

BOUSTEAD SECURITIES, LLC

CRD#: 141391

Boca Raton, FL

Past

September 2, 2014 - January 25, 2021

WESTPARK CAPITAL, INC.

CRD#: 39914

BOCA RATON, FL

Past

July 8, 2013 - December 19, 2013

AEGIS CAPITAL CORP.

CRD#: 15007

BOCA RATON, FL

Past

May 23, 2007 - September 12, 2012

DAWSON JAMES SECURITIES, INC.

CRD#: 130645

BOCA RATON, FL

Past

August 21, 2006 - May 24, 2007

CHICAGO INVESTMENT GROUP, LLC

CRD#: 11853

BOCA RATON, FL

Past

March 21, 2005 - September 25, 2006

CAPITAL GROWTH FINANCIAL, LLC

CRD#: 41040

BOCA RATON, FL

Past

November 17, 2003 - March 22, 2005

S.W. BACH & COMPANY

CRD#: 43522

PORT WASHINGTON, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/27/2021)

Colorado
(1/17/2021)

Connecticut
(1/27/2021)

Delaware
(11/9/2022)

Florida
(1/20/2021)

Georgia
(7/28/2021)

New York
(1/24/2021)

Texas
(4/26/2023)

Exams

State Security Law Exam

Series 63

Date: 9/5/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 62

Date: 1/2/2023

Corporate Securities Limited Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/26/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SUTTER SECURITIES INCORPORATED

S & D SECURITIES, INC. | SUTTER SECURITIES, INC. | SUTTER SECURITIES INCORPORATED

CRD#: 30770 / SEC#: , 8-45158

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

6 Venture, Suite 395 Suite 395, Irvine, CA 92618

Mailing Address

6 Venture, Suite 395 Suite 395, Irvine, CA 92618

Phone number

(415) 352-6300

Established

California since 07/22/1992

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SUTTER SECURITIES GROUP INC (FORMERLY FINTECH GLOBAL MARKETS)	SHAREHOLDER
BULL, ROBERT LEE IV	FINOP	1521134
CHOMATIL, NEHRU SUBRAMANIAN	CHIEF COMPLIANCE OFFICER	2342004
MALEY, ROBERT ANDREW	EXECUTIVE VICE PRESIDENT	2442794
MATTHEWS, GILBERT ELLIOTT	SR. MANAGING DIRECTOR, DIRECTOR, CHAIRMAN
SMITH, LINCOLN JOSEPH JR	PRESIDENT, CEO	2501422

Disclosures

Regulatory Event	1
Bond	1

Red Flags

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Firm Stability Insights

Sean W. Mollard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sean Wesley Mollard's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOUSTEAD SECURITIES, LLC

WESTPARK CAPITAL, INC.

AEGIS CAPITAL CORP.

DAWSON JAMES SECURITIES, INC.

CHICAGO INVESTMENT GROUP, LLC

CAPITAL GROWTH FINANCIAL, LLC

S.W. BACH & COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 9/5/2003

Series 62

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/26/2003

FINRA

Current Firm

SUTTER SECURITIES INCORPORATED

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SUTTER SECURITIES INCORPORATED

TRUST BUT VERIFY

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