SV
Sean P. Vesey
FMSBONDS
Whippany, NJ 07981
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CRD#: 5380918
SV
Professional summary
Sean Patrick Vesey is a registered financial professional currently at FMSBONDS, INC. located in Whippany, New Jersey.
Sean is registered as a RR (Registered Representative) and started their career in finance in 2008. Sean has worked at 4 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53 and Series 24 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.
CRS (Client Relationship Summary) - BD
Click below to view Sean Patrick Vesey'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®
NoneExperience
Current
June 28, 2022 - Present
FMSBONDS, INC.
Office #1: 110 South Jefferson Road 1st Floor, Whippany, NJ 07981BD
CRD#: 7793
Whippany, NJ
Past
March 17, 2015 - June 28, 2022
NATALLIANCE SECURITIES, LLC
BD
CRD#: 39455
Jersey City, NJ
Past
January 2, 2013 - March 25, 2015
BB&T SECURITIES, LLC
RIA
CRD#: 142785
HASBROUCK HEIGHTS, NJ
Past
January 2, 2013 - March 25, 2015
BB&T SECURITIES, LLC
BD
CRD#: 142785
HASBROUCK HEIGHTS, NJ
Past
September 23, 2008 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
RIA
CRD#: 6255
HASBROUCK HEIGHTS, NJ
Past
July 10, 2008 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
BD
CRD#: 6255
HASBROUCK HEIGHTS, NJ
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
Alabama(6/28/2022)
RR
Alaska(6/28/2022)
RR
Arizona(6/28/2022)
RR
Arkansas(6/28/2022)
RR
California(6/28/2022)
RR
Colorado(6/28/2022)
RR
Connecticut(6/28/2022)
RR
Delaware(6/28/2022)
RR
District of Columbia(6/28/2022)
RR
Florida(6/28/2022)
RR
Georgia(6/28/2022)
RR
Hawaii(6/28/2022)
RR
Idaho(6/28/2022)
RR
Illinois(6/28/2022)
RR
Indiana(6/28/2022)
RR
Iowa(6/28/2022)
RR
Kansas(6/28/2022)
RR
Kentucky(6/28/2022)
RR
Louisiana(6/28/2022)
RR
Maine(6/28/2022)
RR
Maryland(6/28/2022)
RR
Massachusetts(6/28/2022)
RR
Michigan(6/28/2022)
RR
Minnesota(6/28/2022)
RR
Mississippi(6/28/2022)
RR
Missouri(6/28/2022)
RR
Montana(6/28/2022)
RR
Nebraska(6/28/2022)
RR
Nevada(6/28/2022)
RR
New Hampshire(6/28/2022)
RR
New Jersey(6/28/2022)
RR
New Mexico(6/28/2022)
RR
New York(6/28/2022)
RR
North Carolina(6/28/2022)
RR
North Dakota(6/28/2022)
RR
Ohio(6/28/2022)
RR
Oklahoma(6/28/2022)
RR
Oregon(6/28/2022)
RR
Pennsylvania(6/28/2022)
RR
Puerto Rico(6/28/2022)
RR
Rhode Island(6/28/2022)
RR
South Carolina(6/28/2022)
RR
South Dakota(6/28/2022)
RR
Tennessee(6/28/2022)
RR
Texas(6/28/2022)
RR
Utah(6/28/2022)
RR
Vermont(6/28/2022)
RR
Virginia(6/28/2022)
RR
Washington(6/28/2022)
RR
West Virginia(6/28/2022)
RR
Wisconsin(6/28/2022)
RR
Wyoming(6/28/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FI
FMSBONDS, INC.
FIRST MIAMI SECURITIES, INC. | TAX-FREE BONDS.COM | TAX-FREE BONDS | FMSBONDS.COM | FMSBONDS, INC. | FMS,INC. | FMS, INC. | FMS BONDS, INC. | FMS BONDS
CRD#: 7793 / SEC#: , 8-23280
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
4775 Technology Way, Boca Raton, FL 33431
Mailing Address
4775 Technology Way, Boca Raton, FL 33431
Phone number
(800) 741-1103
Established
Florida since 08/11/1978
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEINSILVER, PAUL | CHAIRMAN OF THE BOARD | 500389 |
| KLOTZ, JAMES ARNOLD | PRESIDENT | 500438 |
| GUERRISE, MATTHEW ANTHONY | CHIEF COMPLIANCE OFFICER | 2673770 |
| PARKER, ANNE MICHELLE | SROP AND CROP | 2226034 |
| SELIGSOHN, MICHAEL STEVEN | CHIEF OPERATIONS OFFICER, VICE PRESIDENT | 2189850 |
| SWINARSKI, THEODORE ANTHONY | SENIOR VICE PRESIDENT - TRADING SUPERVISOR | 1584451 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
