Sean R. Dargan
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 Robert Dargan was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2004. Sean had worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 87, Series 86 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
April 16, 2025 - October 31, 2025
FINALIS SECURITIES LLC
August 1, 2016 - November 13, 2018
WELLS FARGO SECURITIES, LLC
November 7, 2011 - August 5, 2016
MACQUARIE CAPITAL (USA) INC.
September 28, 2005 - October 5, 2011
WELLS FARGO SECURITIES, LLC
April 27, 2005 - October 3, 2005
J.P. MORGAN SECURITIES LLC
August 25, 2004 - April 1, 2005
PRUDENTIAL EQUITY GROUP, 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 79TO
Date: 4/16/2025
Investment Banking Registered Representative ExaminationCurrent 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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