Individual Firm
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Sean Emmet Breen
CRD#: 3096780
IA
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RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 95 102nd Ave. NE
Bellevue, WA 98004
Bellevue, WA 98004
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 95 102nd Avenue NE
Bellevue, WA 98004
Bellevue, WA 98004
0
Disclosures
25
Years of Experience
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State Registrations
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Arizona 10/19/2023
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Rhode Island 10/19/2023
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California 10/19/2023
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Texas 10/19/2023
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Idaho 4/9/2024
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Texas 10/19/2023
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Maryland 10/19/2023
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Washington 10/19/2023
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New York 10/19/2023
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Washington 10/19/2023
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North Carolina 10/19/2023
SRO Registrations
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Registered with this firm since 10/19/2023
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Registered with this firm since 10/19/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/05/2020 - 10/18/2023 | Bellevue, WA | |
B | 10/05/2020 - 10/18/2023 | Bellevue, WA | |
IA | 02/15/2017 - 10/07/2020 | Tacoma, WA | |
B | 02/15/2017 - 10/07/2020 | Tacoma, WA | |
IA | 03/13/2012 - 11/16/2016 | SAMMAMISH, WA | |
B | 03/13/2012 - 11/16/2016 | JERSEY CITY, NJ | |
IA | 10/12/2007 - 03/06/2012 | BOSTON, MA | |
B | 06/18/2007 - 03/06/2012 | EDINA, MN | |
IA | 10/12/2007 - 12/31/2010 | BOSTON, MA | |
B | 09/05/2000 - 06/19/2007 | DENVER, CO | |
B | 08/17/1998 - 12/01/1999 | DENVER, CO |
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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.