Sean P. Finnerty
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 Patrick Finnerty was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2007. Sean had worked at 7 firms and has passed the Series 66, SIE, Series 86, Series 87 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
November 23, 2016 - October 21, 2025
CAPITAL ONE SECURITIES, INC.
January 28, 2015 - October 6, 2015
CAPITAL ONE ADVISORS, LLC
January 2, 2015 - October 6, 2015
CAPITAL ONE INVESTING, LLC
March 19, 2013 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
February 21, 2013 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
July 13, 2009 - August 23, 2012
UBS FINANCIAL SERVICES INC.
March 19, 2008 - August 23, 2012
UBS FINANCIAL SERVICES INC.
October 11, 2007 - February 12, 2008
FIRST CLEARING, LLC
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
Current Firm
CAPITAL ONE SECURITIES, INC.
CRD#: 44158 / SEC#: , 8-50561
Contact information
FINRA licenses (12 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE FINANCIAL CORPORATION | 100% SHAREHOLDER | |
| GIBNEY, JOSEPH DONOUGH | DIRECTOR | 3117394 |
| HALPRIN, GABRIELLE BAILLEUX | CHIEF FINANCIAL OPERATIONS OFFICER (FINOP) | 5087341 |
| JOHNSON, RUSSELL ALAN | DIRECTOR | 2785704 |
| KUCERA, DAVID JOHN | DIRECTOR | 2598213 |
| MULLIGAN, ROBERT | CHIEF COMPLIANCE OFFICER | 1584973 |
| NAKAMURA, SEIJI PETER | DIRECTOR | 2561992 |
| PORPHY, JEFFREY R | DIRECTOR | 4107535 |
| TULIP, STEVEN ANDREW | PRESIDENT AND DIRECTOR | 2540149 |
Disclosures
| Regulatory Event | 3 |
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.
