Sean Finotti
Professional summary
Sean Finotti, who also goes by Sean M Finotti, Sean Michael Finotti, is a registered financial professional currently at ROBINHOOD FINANCIAL, LLC located in Chicago, Illinois and ROBINHOOD SECURITIES, LLC located in Chicago, Illinois.
Sean is registered as a RR (Registered Representative) and started their career in finance in 2013. Sean has worked at 6 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 34, Series 3, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sean Finotti's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2022 - Present
ROBINHOOD FINANCIAL, LLC
Office #1: 151 N Franklin St Floor 29, Chicago, IL 60606December 4, 2024 - Present
ROBINHOOD SECURITIES, LLC
Office #1: 151 N Franklin St Floor 29, Chicago, IL 60606June 7, 2021 - December 17, 2021
WILLIAM BLAIR
April 15, 2019 - June 8, 2021
ABN AMRO CLEARING USA LLC
April 12, 2016 - January 16, 2018
TD AMERITRADE, INC.
September 18, 2013 - April 7, 2016
SCOTTRADE, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/3/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/4/2015
Limited Representative-Equity Trader ExamFINRA
Current Firm
ROBINHOOD SECURITIES, LLC
CRD#: 287900 / SEC#: , 8-69916
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | MEMBER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | CHIEF OPERATING OFFICER, AND PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND FINOP | 3103432 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
Red Flags
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