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SA

Sean P. Allen

CITIZENS JMP SECURITIES
Charlotte, NC 28209
Some features on this profile are disabled
CRD#: 6727528
SA

Professional summary

Sean Patrick Allen, who also goes by Sean Patrick Allen, is a registered financial professional currently at CITIZENS JMP SECURITIES, LLC located in Charlotte, North Carolina.

Sean is registered as a RR (Registered Representative) and started their career in finance in 2017. Sean has worked at 3 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sean Patrick Allen

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) - BD

Click below to view Sean Patrick Allen'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

July 15, 2024 - Present

CITIZENS JMP SECURITIES, LLC

Office #1: 4250 Congress Street Suite 300, Charlotte, NC 28209
BD
CRD#: 22208
Charlotte, NC
Past

August 1, 2023 - June 18, 2024

CITIZENS JMP SECURITIES, LLC

BD
CRD#: 22208
LOS ANGELES, CA
Past

August 17, 2022 - August 1, 2023

CITIZENS CAPITAL MARKETS

BD
CRD#: 277073
LOS ANGELES, CA
Past

March 4, 2020 - April 6, 2021

CITIZENS CAPITAL MARKETS

BD
CRD#: 277073
LOS ANGELES, CA
Past

February 10, 2017 - March 9, 2020

BWK TRINITY CAPITAL SECURITIES LLC

BD
CRD#: 120723
LOS ANGELES, CA

State Registrations and Notice Filings

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

RR
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

RR
North Carolina
(7/15/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 1/17/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 2/10/2017
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CJ
CITIZENS JMP SECURITIES, LLC
CITIZENS | TRINITY CAPITAL | MITCHUM, JONES & TEMPLETON, INC. | JOLSON MERCHANT PARTNERS | JMP SECURITIES LLC | JMP SECURITIES | DH CAPITAL | CITIZENS M&A ADVISORY | CITIZENS JMP SECURITIES, LLC | CITIZENS JMP | CITIZENS CAPITAL MARKETS & ADVISORY | CITIZENS CAPITAL MARKETS

CRD#: 22208 / SEC#: , 8-39613

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
101 California Street Ste 1700, San Francisco, CA 94111
Mailing Address
101 California Street Ste 1700, San Francisco, CA 94111
Phone number
(415) 835-8900
Established
Delaware since 01/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JMP HOLDING LLCPARENT COMPANY
CONROY, WALTER IVORGENERAL COUNSEL6641487
GREGORY, JOHNPRESIDENT4600619
JACKSON, RAYMOND SIVACHIEF FINANCIAL OFFICER5563363
MANNING, SIMON STONESENIOR REGISTERED OPTIONS PRINCIPAL (SROP)1941279
MCLAUGHLIN, BRENDANCHIEF COMPLIANCE OFFICER2562815
O'DAY, JAMES CORTLANDHEAD OF EQUITIES5618215
SLADER, GAVIN WILLEYHEAD OF INVESTMENT BANKING4130019
SPURR, JEFFREY HOLMESHEAD OF RESEARCH1384716
SUCHY, GREGORY JOHNCHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER5907019
WHITEHEAD, AIDAN PETERHEAD OF TRADING & SALES TRADING2474257
XIAO, ZHUO VIVIAN XUANFINOP5121578

Disclosures

Regulatory Event6

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

CITIZENS JMP SECURITIES, LLC

CRD#: 22208Charlotte, NC 28209

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