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SJ

Sean L. Jenkins

CAPLINK SECURITIES,
Hermosa Beach, CA 90254
Some features on this profile are disabled
CRD#: 4961649
SJ

Professional summary

Sean Lee Jenkins is a registered financial professional currently at CAPLINK SECURITIES, INC located in Hermosa Beach, California.

Sean is registered as a RR (Registered Representative) and started their career in finance in 2011. Sean has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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 Lee Jenkins'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

March 8, 2013 - Present

CAPLINK SECURITIES, INC

Office #1: 200 Pier Avenue Suite 123, Hermosa Beach, CA 90254
BD
CRD#: 130702
Hermosa Beach, CA
Past

October 3, 2011 - February 19, 2013

CAPSTONE INVESTMENTS

BD
CRD#: 41400
SAN DIEGO, CA

State Registrations and Notice Filings

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

RR
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

RR
California
(3/8/2013)
RR
Colorado
(5/7/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 10/15/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/1/2011
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CAPLINK SECURITIES, INC
CAPLINK SECURITIES, INC | CENTARA CAPITAL SECURITIES, INC.

CRD#: 130702 / SEC#: , 8-66379

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

Main Address
1230 Rosecrans Avenue Suite 300, Manhattan Beach, CA 90266
Mailing Address
1230 Rosecrans Avenue Suite 300, Manhattan Beach, CA 90266
Phone number
(310) 952-0987
Established
California since 04/21/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MIBU, SCOTT JIROPRESIDENT, CCO2272272
OSHIRO, MICHAEL HENRYCEO2271174
BARRETT, THOMAS JOSEPHFINOP2821759

Disclosures

Regulatory Event1

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.

Company Information

CAPLINK SECURITIES, INC

CRD#: 130702Hermosa Beach, CA 90254

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