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SD

Sean M. Donnelly

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CRD#: 6643483
SD

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 Donnelly, who also goes by Sean Donnelly, was a registered financial professional .

Sean is a previously registered financial professional and started their career in finance in 2016. Sean had worked at 5 firms and has passed the Series 57TO and SIE exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Sean Donnelly

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.
The advisor shows no other business activity.

Blog Corner


CRS (Client Relationship Summary)


The CRS(Customer Relationship Summary) document is not provided.

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


Past

March 8, 2022 - December 5, 2023

RFA SECURITIES LLC

BD
CRD#: 305963
PHILADELPHIA, PA
Past

November 19, 2021 - March 2, 2022

GLOBAL EXECUTION BROKERS, LP

BD
CRD#: 126407
BALA CYNWYD, PA
Past

October 13, 2021 - March 2, 2022

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
BALA CYNWYD, PA
Past

February 16, 2021 - October 13, 2021

SUSQUEHANNA SECURITIES, LLC

BD
CRD#: 35874
BALA CYNWYD, PA
Past

May 2, 2016 - February 11, 2021

D & D SECURITIES, INC.

BD
CRD#: 31470
PHILADELPHIA, PA

State Registrations and Notice Filings


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

Visual representation of state registrations

This advisor is not registered in any state.

Exams


General Industry/Product Exam
RR
Series 57TO
Date: 10/12/2021
Securities Trader Exam

Current Firm


RS
RFA SECURITIES LLC
RFA SECURITIES LLC

CRD#: 305963 / SEC#: , 8-70419

BD
Terminated by SEC on 09/28/2024
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Contact information


Main Address
Mailing Address
Phone number
Established
Delaware since 09/16/2019
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents


Direct owners and executive officers


NamePositionCRD#
FCF GROUP INTERMEDIATE HOLDINGS LLC100% DIRECT OWNER
POSTREL, HELENE BERSONFINOP2240945
VORA, ANISH MCEO5466748
WONG, WILLIE LCCO4170997

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.

Company Information


RFA SECURITIES LLC

CRD#: 305963

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