Sean A. Macleod
Professional summary
Sean Alexander Macleod, who also goes by Sean Macleod, is a registered financial professional currently at CUMBERLAND SECURITIES LLC located in Chicago, Illinois.
Sean is registered as a RR (Registered Representative) and started their career in finance in 2018. Sean has worked at 4 firms and has passed the Series 63, Series 7TO, Series 57TO, Series 57, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sean Alexander Macleod's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 7, 2024 - Present
CUMBERLAND SECURITIES LLC
Office #1: 540 W. Madison St., Chicago, IL 60540February 1, 2023 - May 7, 2024
DRW SECURITIES, L.L.C.
May 10, 2019 - October 12, 2021
BOFA SECURITIES, INC.
October 5, 2018 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 7TO
Date: 7/18/2022
General Securities Representative ExaminationSeries 57TO
Date: 7/18/2022
Securities Trader ExamFINRA
Current Firm
CUMBERLAND SECURITIES LLC
CRD#: 13970 / SEC#: , 8-31215
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
