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Sean S. Harris

Some features on this profile are disabled
CRD#: 5055125
SH

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 Samuel Harris was a registered financial advisor .

Sean is a previously registered financial advisor and started their career in finance in 2006. Sean had worked at 2 firms and has passed the Series 66 and Series 7 exams.

top-8-questions

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 3, 2007 - November 30, 2007

SCF SECURITIES, INC.

BD
CRD#: 47275
SAN DIEGO, CA
Past

June 5, 2006 - March 8, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
ROSEVILLE, CA
Past

May 19, 2006 - March 8, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
ROSEVILLE, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/3/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/18/2006
General Securities Representative Examination

Current Firm

SS
SCF SECURITIES, INC.
SCF SECURITIES, INC. | SECURITY CONSULTANTS FINANCIAL SECURITIES, INC.

CRD#: 47275 / SEC#: , 8-51760

BD
Terminated by SEC on 09/30/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Arizona since 05/19/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SCF HOLDINGS, INC.SHAREHOLDER
HAWLEY, AMANDA CANDELMOCORPORATE SECRETARY3214453
SCHUMANN, ALEXIS VCHIEF COMPLIANCE OFFICER3157769
TYMKIW, TRISHACHIEF FINANCIAL OFFICER3197368

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

SCF SECURITIES, INC.

CRD#: 47275

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