Sean M. Patterson
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 Michael Patterson, CFA was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2011. Sean had worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2023 - June 12, 2026
HPS SECURITIES, LLC
August 15, 2018 - March 7, 2023
BLACKROCK INVESTMENTS, LLC
August 1, 2011 - April 10, 2012
MORGAN STANLEY
June 13, 2011 - April 10, 2012
MORGAN STANLEY
January 26, 2011 - April 11, 2011
IAA FINANCIAL 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
HPS SECURITIES, LLC
CRD#: 319197 / SEC#: , 8-70910
Contact information
FINRA licenses (53 States and Territories)
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.
