Sean Thomas Roach
Professional Summary
Sean Thomas Roach was a registered financial advisor. Sean was a previously registered financial professional and started their career in finance 2005 - 2023. Sean had worked at 4 firms and has passed the Series 63, Series 57TO, Series 79TO, SIE, Series 55 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
21 years in the financial services industry
Current & Past Employments
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Current Firm
ABEL NOSER, LLC. | ANOS CAPITAL, LLC | ANOS CAPITAL, L.L.C. | ABEL/NOSER, L.L.C.
Contact Information
Main Address
405 Lexington Avenue 9th Floor, New York, NY 10174Mailing Address
405 Lexington Avenue 9th Floor, New York, NY 10174Phone Number
(646) 432-4100Established
Delaware since 04/21/2016Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
24FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Dec 2006Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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