Sean P. Toohill
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 Toohill was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2008. Sean had worked at 6 firms and has passed the Series 63, SIE 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
October 12, 2015 - February 13, 2018
TRITON PACIFIC SECURITIES, LLC
March 28, 2011 - October 5, 2015
CION SECURITIES, LLC
May 2, 2009 - February 17, 2010
CHASE INVESTMENT SERVICES CORP.
December 22, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
March 7, 2008 - May 20, 2008
OPPENHEIMER & CO. INC.
February 7, 2008 - February 13, 2008
JOHN THOMAS FINANCIAL
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
TRITON PACIFIC SECURITIES, LLC
CRD#: 139919 / SEC#: , 8-67262
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FAGGEN, CRAIG JEFFREY | OWNER | 2734508 |
| BRAVIN, MICHAEL A | CCO/COMPLIANCE OFFICER | |
| BUEHLER, BRIAN DAVID | PRESIDENT/CEO | 3059422 |
| CARROLL, MICHAEL LOUIS | FINOP/CFO/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 5282521 |
| TRITON PACIFIC CAPITAL PARTNERS, LLC. | MANAGING MEMBER | |
| TRITON PACIFIC GROUP, INC. | MANAGING MEMBER |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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