Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
SEAN MICHAEL OKEEFE
SEAN M OKEEFE
CRD#: 2259214
IA
B
LPL FINANCIAL LLCCRD#: 6413 2040 MAIN STREET, SUITE 175
IRVINE, CA 92614
IRVINE, CA 92614
View By:
7/1/2005
Customer Dispute
Denied
State Registrations
B
Arizona 7/30/2020
B
Nevada 7/30/2020
B
California 12/16/2015
B
Oklahoma 3/24/2021
IA
California 12/16/2015
B
Oregon 12/16/2015
B
Colorado 1/2/2021
B
South Carolina 8/30/2016
IA
Louisiana 3/16/2016
IA
Texas 3/16/2016
B
Michigan 12/9/2020
B
Texas 1/3/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 3/2/2016
IA
Registered with this firm since 12/16/2015
B
Registered with this firm since 12/16/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/17/2000 - 12/18/2015 | IRVINE, CA | |
B | 07/17/1997 - 12/18/2015 | IRVINE, CA | |
B | 07/17/1997 - 01/05/2000 | NEW YORK, NY | |
B | 02/20/1996 - 07/02/1997 | FORT WAYNE, IN | |
B | 02/20/1996 - 07/02/1997 | FORT WAYNE, IN | |
B | 08/07/1992 - 02/07/1996 | NEW YORK, NY | |
B | 08/07/1992 - 02/07/1996 | NEW YORK, NY |
NEW YORK, NY
07/17/1997 - 01/05/2000
NEW YORK, NY
08/07/1992 - 02/07/1996
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.