Sean D. Portnoy
Professional summary
Sean David Portnoy was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Sean is a previously registered financial professional and started their career in finance in 2006. Prior to being barred, Sean had worked at 4 firms, which includes NOBLES & RICHARDS INC., AMEREST SECURITIES INC., TEXAS E&P PARTNERS INC., REEF SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2015 - June 19, 2015
NOBLES & RICHARDS, INC.
September 2, 2008 - June 9, 2009
AMEREST SECURITIES, INC.
February 23, 2007 - August 4, 2008
TEXAS E&P PARTNERS, INC.
June 12, 2006 - March 8, 2007
AMEREST SECURITIES, INC.
March 8, 2006 - May 3, 2006
REEF SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
NOBLES & RICHARDS, INC.
CRD#: 146870 / SEC#: , 8-67859
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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