Sean Elliot Wasserman
Professional Summary
Sean Elliot Wasserman is a registered financial advisor currently at NASDAQ CAPITAL MARKETS ADVISORY LLC located in New York, New York. Sean is registered as a RR (Registered Representative) and started their career in finance in 2020. Sean has worked at 2 firms and has passed the Series 7TO, SIE and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
6 years in the financial services industry
Current & Past Employments
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Current Firm
ISLAND EXECUTION SERVICES, LLC | OUTBOUND SECURITIES, LLC | NASDAQ OPTIONS SERVICES, LLC | NASDAQ CAPITAL MARKETS ADVISORY LLC
Contact Information
Main Address
151 West 42nd Street, New York, NY 10036Mailing Address
151 West 42nd Street, New York, NY 10036Phone Number
(212) 401-8700Established
Delaware since 02/08/2000Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (3 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NASDAQ CORPORATE SOLUTIONS, LLC | SOLE MEMBER | — |
| CRANE, LINDA | PRINCIPAL FINANCIAL OFFICER/ PRINCIPAL OPERATIONS OFFICER | 4374198 |
| DELSIGNORE, JILLIAN NICOLE | CO CHIEF EXECUTIVE OFFICER | 4129776 |
| HINTON-MILLER, BRENDA | CHIEF COMPLIANCE OFFICER | 3208241 |
| WASSERMAN, SEAN ELLIOT | CO CHIEF EXECUTIVE OFFICER | 7303324 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Sean Elliot Wasserman's CRS (Customer Relationship Summary).
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