Sean M. Morrissey

R.J. O'BRIEN SECURITIES

Chicago, IL 60606

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CRD#: 4860489

Professional summary

Sean Michael Morrissey, who also goes by Sean Morrissey, is a registered financial professional currently at R.J. O'BRIEN SECURITIES, LLC located in Chicago, Illinois and STONEX FINANCIAL INC. located in New York, New York.

Sean is registered as a RR (Registered Representative) and started their career in finance in 2007. Sean has worked at 4 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sean Morrissey

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 Michael Morrissey'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

August 18, 2025 - Present

R.J. O'BRIEN SECURITIES, LLC

Office #1: 222 South Riverside Plaza, Suite 1200, Chicago, IL 60606

CRD#: 143624

Chicago, IL

Current

October 3, 2025 - Present

STONEX FINANCIAL INC.

Office #1: 230 Park Avenue 10th Floor, New York, NY, 10169

CRD#: 45993

New York, NY

Past

January 15, 2020 - August 4, 2025

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

July 24, 2007 - January 28, 2020

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, 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

Florida
(10/7/2025)

Illinois
(10/7/2025)

New Jersey
(8/18/2025)

New York
(8/18/2025)

Exams

State Security Law Exam

Series 63

Date: 2/18/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/8/2016

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/23/2007

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

STONEX FINANCIAL INC.

CRD#: 45993 / SEC#: , 8-51269

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

329 Park Avenue North Suite 350, Winter Park, FL 32789

Mailing Address

329 Park Avenue North Suite 350, Winter Park, FL 32789

Phone number

(407) 741-5300

Established

Florida since 05/29/1998

Firm type

Corporation

Fiscal year end

September

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
STONEX GROUP INC.	OWNER
BOLTE, DAVID ALBERT	SECRETARY	2711410
DAVISON, STUART ANDREW	DIRECTOR; CHIEF OPERATING OFFICER	7824576
DICIOLLO, ANTHONY JOSEPH	PRESIDENT/DIRECTOR	4976402
DUNAWAY, WILLIAM JOHN	DIRECTOR, CHIEF FINANCIAL OFFICER	6505923
LYON, CHARLES MARTIN	DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER	4000852
MAURER, MARK L	DIRECTOR, CHIEF RISK OFFICER	4234406
PORZIO, JOSEPH JOHN	FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER	1319702
SMITH, PHILIP ANDREW	DIRECTOR	4999097
SZEKELY, GIGI KLARA	CHIEF COMPLIANCE OFFICER - BD DIVISION	2530826

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Sean M. Morrissey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sean Michael Morrissey's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONEX FINANCIAL INC.

BNP PARIBAS SECURITIES CORP.

BARCLAYS CAPITAL INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/18/2014

SIE

Date: 10/1/2018

Series 3

Date: 8/8/2016

Series 7

Date: 7/23/2007

FINRA

Nasdaq Stock Market

Current Firm

STONEX FINANCIAL INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

STONEX FINANCIAL INC.

TRUST BUT VERIFY

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