Sean T. Roach
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 Thomas Roach was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2005. Sean had worked at 4 firms and has passed the Series 63, Series 57TO, Series 79TO, SIE, Series 55 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
October 22, 2016 - December 4, 2023
ANOS CAPITAL, LLC
September 10, 2007 - November 8, 2016
ABEL/NOSER CORP.
November 29, 2006 - September 7, 2007
BNY MELLON SECURITIES LLC
January 19, 2005 - November 24, 2006
CITIGROUP GLOBAL MARKETS 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
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 12/12/2006
Limited Representative-Equity Trader ExamCurrent Firm
ANOS CAPITAL, LLC
CRD#: 284714 / SEC#: , 8-69809
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANOS HOLDINGS, LLC | OWNER | |
| DALLAL, JEFFREY HARON | PRESIDENT/CHIEF OPERATING OFFICER | 2316096 |
| DANIELE, EDWARD ROBERT | CHIEF COMPLIANCE OFFICER/AML OFFICER | 1224878 |
| EMMERICH, CLIFFORD GENNARO | SENIOR MANAGING DIRECTOR HEAD OF SALES AND TRADING | 2412767 |
| IANNUCCI, MICHAEL CHRISTOPHER | IA TRANSITION MANAGEMENT | 4709972 |
| PAPATSOS, JOHN NICK | FINOP | 4416912 |
| RIVELLI, DOUGLAS DUVALL | CHIEF EXECUTIVE OFFICER | 2174199 |
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.
