Individual Firm
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SEAN ANTHONY LEHMANN
CRD#: 2407155
IA
B
THE SULLIVAN GROUPCRD#: 150705 29060 WAVERLY DRIVE
MENIFEE, CA 92586
MENIFEE, CA 92586
PURSHE KAPLAN STERLING INVESTMENTSCRD#: 35747 29060 Waverly Drive
Menifee, CA 92586
Menifee, CA 92586
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9/16/2009
Customer Dispute
Denied
9/30/1999
Customer Dispute
Settled
State Registrations
B
Arizona 9/1/2009
B
New York 9/1/2009
B
California 9/1/2009
B
Oregon 9/1/2009
IA
California 9/2/2009
IA
Texas 4/3/2017
B
Florida 9/1/2009
B
Washington 9/1/2009
B
Hawaii 9/11/2009
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 9/2/2009
B
Registered with this firm since 9/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 09/14/2009 | ROSEVILLE, CA | |
B | 06/01/2009 - 09/14/2009 | ROSEVILLE, CA | |
IA | 12/17/2007 - 06/01/2009 | ROSEVILLE, CA | |
B | 12/17/2007 - 06/01/2009 | ROSEVILLE, CA | |
IA | 01/14/2002 - 12/19/2007 | ROSEVILLE, CA | |
B | 12/14/2001 - 12/19/2007 | ROSEVILLE, CA | |
B | 05/02/2001 - 12/13/2001 | SAN FRANCISCO, CA | |
B | 10/29/1999 - 05/02/2001 | SAN FRANCISCO, CA | |
B | 10/18/1994 - 11/05/1999 | ST. LOUIS, MO | |
B | 11/03/1993 - 10/21/1994 | NEW YORK, NY |
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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.