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SEAN RICHARD O'DONNELL
SEAN RICHARD ODONNELL
CRD#: 2879590
IA
B
MORGAN STANLEYCRD#: 149777 9665 Wilshire Boulevard
Suite 600
Beverly Hills, CA 90212
Suite 600
Beverly Hills, CA 90212
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4/28/2009
Customer Dispute
Settled
10/7/2008
Customer Dispute
Denied
10/7/2008
Customer Dispute
Denied
State Registrations
B
Alabama 7/26/2024
B
Montana 7/26/2024
B
Arizona 7/26/2024
B
Nevada 7/29/2024
B
California 7/26/2024
B
New Hampshire 7/26/2024
IA
California 7/26/2024
B
New Jersey 7/26/2024
B
Colorado 7/26/2024
B
New Mexico 7/26/2024
B
Connecticut 7/26/2024
B
New York 7/26/2024
B
Florida 7/26/2024
B
North Carolina 7/26/2024
B
Georgia 7/26/2024
B
Oregon 7/26/2024
B
Hawaii 9/19/2024
B
Pennsylvania 7/26/2024
B
Idaho 7/26/2024
B
Rhode Island 7/26/2024
B
Illinois 7/26/2024
B
South Carolina 7/30/2024
B
Indiana 7/26/2024
B
Texas 7/26/2024
B
Kansas 7/26/2024
IA
Texas 7/26/2024
B
Maryland 8/1/2024
B
Virginia 7/26/2024
B
Massachusetts 7/26/2024
B
Washington 7/26/2024
B
Mississippi 7/29/2024
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 7/26/2024
B
Registered with this firm since 7/26/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/23/2015 - 07/30/2024 | BEVERLY HILLS, CA | |
B | 11/20/2015 - 07/30/2024 | BEVERLY HILLS, CA | |
IA | 04/20/2009 - 12/01/2015 | BEVERLY HILLS, CA | |
B | 04/17/2009 - 12/01/2015 | BEVERLY HILLS, CA | |
IA | 05/15/2001 - 04/28/2009 | BEVERLY HILLS, CA | |
B | 05/02/2001 - 04/28/2009 | BEVERLY HILLS, CA | |
B | 07/25/1997 - 05/02/2001 | SAN FRANCISCO, CA |
BEVERLY HILLS, CA
11/23/2015 - 07/30/2024
BEVERLY HILLS, CA
11/20/2015 - 07/30/2024
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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.