Sean H. Carmody

MAXIM FINANCIAL ADVISORS LLC

New York, NY 10022

Some features on this profile are disabled

CRD#: 5681371

Professional summary

Sean Harrison Carmody is a registered financial advisor currently at MAXIM FINANCIAL ADVISORS LLC located in New York, New York and MAXIM GROUP LLC located in New York, New York.

Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Sean has worked at 5 firms and has passed the Series 66, SIE, Series 34, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

SHC Capital Management, LLC. 9 Netherton Terrace, Morristown, NJ 07960. Commercial Real Estate, Sole Member as of 07/27/2022, investing in a friend's commercial real estate project, no more than two weeks per year devoted during non-securities trading hours, 0 hours devoted during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Harrison Carmody's CRS (Customer Relationship Summary).

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 16, 2016 - Present

MAXIM FINANCIAL ADVISORS LLC

Office #1: 300 Park Ave 16th Fl, New York, NY 10022

RIA

CRD#: 139366

New York, NY

Current

October 16, 2012 - Present

MAXIM GROUP LLC

Office #1: 300 Park Ave 16th Floor, New York, NY 10022

CRD#: 120708

New York, NY

Past

September 12, 2011 - October 16, 2012

AEGIS CAPITAL CORP.

CRD#: 15007

NEW YORK, NY

Past

March 8, 2011 - September 13, 2011

RODMAN & RENSHAW, LLC

CRD#: 16415

NEW YORK, NY

Past

May 17, 2010 - October 19, 2010

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MAXIM FINANCIAL ADVISORS LLC

MAXIM CAPITAL MANAGEMENT | MAXIM FINANCIAL ADVISORS, LLC | MAXIM FINANCIAL ADVISORS LLC

CRD#: 139366 / SEC#: 801-66147

RIA

Registered Investment Advisory firm - (1/26/2006 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(10/24/2012)

Connecticut
(5/3/2013)

Florida
(10/24/2012)

Illinois
(10/2/2024)

Massachusetts
(4/9/2013)

New Jersey
(10/24/2012)

IAR

New Jersey
(6/16/2016)

New York
(10/16/2012)

IAR

New York
(8/7/2021)

Pennsylvania
(5/10/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/18/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 34

Date: 11/10/2010

Retail Off-Exchange FOREX Examination

General Industry/Product Exam

Series 3

Date: 10/22/2010

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/14/2010

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

MAXIM FINANCIAL ADVISORS LLC

MAXIM CAPITAL MANAGEMENT | MAXIM FINANCIAL ADVISORS, LLC | MAXIM FINANCIAL ADVISORS LLC

CRD#: 139366 / SEC#: 801-66147

RIA

Registered Investment Advisory firm - (1/26/2006 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

300 Park Ave 16th Fl, New York, NY 10022

Mailing Address

Phone number

(212) 895-3500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (2/28/2025)

ADV PART 2A APPENDIX 1- WRAP FEE BROCHURE (2/28/2025)

Regulatory assets under management

Total Number of Accounts	753
AUM (Assets Under Management)	$ 396,466,473

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/27/2025	Cover Page	Report
09/17/2024	Cover Page	Report
12/19/2023	Cover Page	Report
01/24/2023	Cover Page	Report

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Sean H. Carmody

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Harrison Carmody's CRS (Customer Relationship Summary).

Certified licenses

Experience

MAXIM GROUP LLC

AEGIS CAPITAL CORP.

RODMAN & RENSHAW, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

MAXIM FINANCIAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/18/2010

SIE

Date: 10/1/2018

Series 34

Date: 11/10/2010

Series 3

Date: 10/22/2010

Series 7

Date: 5/14/2010

FINRA

Nasdaq Stock Market

Current Firm

MAXIM FINANCIAL ADVISORS LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MAXIM FINANCIAL ADVISORS LLC

TRUST BUT VERIFY

Similar Advisors