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SB

Sean K. Bailey

Some features on this profile are disabled
CRD#: 724512
SB

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 King Bailey Sr, who also goes by Sean King Bailey, was a registered financial professional .

Sean is a previously registered financial professional and started their career in finance in 1981. Sean had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 82, Series 5, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sean King Bailey

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

September 26, 2018 - January 4, 2024

YOUNG AMERICA CAPITAL, LLC

BD
CRD#: 150443
MAMARONECK, NY
Past

January 29, 2018 - December 3, 2018

PROVEN PARTNERS INVESTMENT ADVISORS LLC

RIA
CRD#: 170633
NEW YORK, NY
Past

November 5, 2014 - December 31, 2017

PROVEN PARTNERS INVESTMENT ADVISORS LLC

RIA
CRD#: 170633
WEST ORANGE, NJ
Past

August 27, 2014 - October 1, 2014

PROVEN PARTNERS INVESTMENT ADVISORS LLC

RIA
CRD#: 170633
WEST ORANGE, NJ
Past

June 14, 1996 - May 13, 1999

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

August 14, 1994 - June 25, 1996

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

December 7, 1990 - April 28, 1994

DAIWA CAPITAL MARKETS AMERICA INC.

BD
CRD#: 1576
NEW YORK, NY
Past

April 3, 1990 - December 7, 1990

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

March 21, 1989 - March 3, 1990

DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.

BD
CRD#: 19727
Past

December 15, 1984 - March 3, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

February 23, 1981 - November 2, 1984

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174

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

State Security Law Exam
RR
Series 63
Date: 12/21/2018
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/28/2014
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 82
Date: 9/26/2018
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 5
Date: 10/14/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 2/21/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/22/1996
General Securities Principal Examination

Current Firm

YA
YOUNG AMERICA CAPITAL, LLC
YOUNG AMERICA CAPITAL, LLC

CRD#: 150443 / SEC#: , 8-68260

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

Main Address
141 East Boston Post Road, Mamaroneck, NY 10543
Mailing Address
141 East Boston Post Road, Mamaroneck, NY 10543
Phone number
(914) 777-0100
Established
Delaware since 05/08/2000
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (30 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#
FORMANEK, PETER JAMESMANAGING MEMBER
FORMANEK, PETER JAMESFINANCIAL PRINCIPAL
FORMANEK, PETER JAMESCFO
FORMANEK, PETER JAMESCCO, AMLCO

Disclosures

Regulatory Event1

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

YOUNG AMERICA CAPITAL, LLC

CRD#: 150443

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