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SD

Sean M. Dzugan

BONDS.COM LLC
New York, NY 10005
Some features on this profile are disabled
CRD#: 5264015
SD

Professional summary

Sean M Dzugan MR, who also goes by Sean M Dzugan, is a registered financial professional currently at BONDS.COM LLC located in New York, New York.

Sean is registered as a RR (Registered Representative) and started their career in finance in 2015. Sean has worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sean M Dzugan

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 M Dzugan MR's 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

June 17, 2015 - Present

BONDS.COM LLC

Office #1: 32 Old Slip 34th Floor, New York, NY 10005
BD
CRD#: 43875
New York, NY

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
New York
(10/19/2015)
RR
South Dakota
(1/23/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/19/2015
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: 6/16/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/17/2018
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BL
BONDS.COM LLC
BONDS.COM LLC | PEDESTAL CAPITAL, INC. | PEDESTAL CAPITAL MARKETS, INC. | MTS MARKETS INTERNATIONAL, INC. | BONDS.COM, INC.

CRD#: 43875 / SEC#: , 8-50451

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
32 Old Slip 34th Floor, New York, NY 10005
Mailing Address
32 Old Slip 34th Floor, New York, NY 10005
Phone number
(212) 257-4062
Established
Delaware since 06/30/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TRADITION AMERICA HOLDINGS INC. (TAH")MEMBER
DOHERTY, JAMES HUGHPRINCIPAL OPERATIONS OFFICER4197747
FIORIO, ROBERT ANTHONYFINOP5525052
PACHECO, ROGER IICHIEF COMPLIANCE OFFICER1312459
PARKER, DAVID NELSONCEO4349441

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

BONDS.COM LLC

CRD#: 43875New York, NY 10005

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