Sean D. Schreiber
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 Doyle Schreiber, who also goes by Sean D Schreiber, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2015. Sean had worked at 3 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2021 - August 25, 2023
N.I.S. FINANCIAL SERVICES, INC.
August 24, 2015 - December 31, 2019
PRINCIPAL SECURITIES, INC.
February 26, 2015 - August 24, 2015
PARK AVENUE SECURITIES 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
N.I.S. FINANCIAL SERVICES, INC.
CRD#: 5361 / SEC#: , 8-15919
Contact information
FINRA licenses (30 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
