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SEAN MICHAEL DEAN
SEAN M DEAN
CRD#: 4230150
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 20 CUSTOM HOUSE STREET
BOSTON, MA 02110
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2009 - 2012 (2 years)2 FIRMS2012 - Present (12 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2008 - 2009 (1 year)BA. G. EDWARDS & SONS, INC. (CRD# 4)2002 - 2008 (5 years)BFIRST UNION SECURITIES, INC. (CRD# 19616)2001 - 2002 (1 year)BSANDS BROTHERS & CO., LTD. (CRD# 26816)2000 - 2001 (<1 year)
License(s)

State Registrations

IA
California 2/6/2014

IA
New Hampshire 3/9/2012

B
California 1/7/2015

B
New Jersey 3/18/2016

B
Colorado 3/18/2016

B
New York 3/9/2012

B
Connecticut 5/30/2014

B
North Carolina 7/11/2016

B
Florida 3/9/2012

B
Pennsylvania 3/9/2012

B
Indiana 7/15/2024

B
Rhode Island 3/9/2012

B
Iowa 3/9/2012

B
South Carolina 3/9/2012

B
Maine 3/9/2012

B
Texas 9/12/2023

B
Maryland 12/21/2022

IA
Texas 9/13/2023

B
Massachusetts 3/9/2012

B
Vermont 3/9/2012

B
Missouri 1/9/2024

B
Virginia 11/3/2014

B
New Hampshire 3/9/2012

B
Washington 1/22/2020

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
20 CUSTOM HOUSE STREET, BOSTON, MA 02110
Registered with this firm since 3/9/2012

B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
20 CUSTOM HOUSE STREET, BOSTON, MA 02110
Registered with this firm since 3/9/2012

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/18/2009 - 03/09/2012 LEERINK SWANN LLC (CRD#:39011) BOSTON, MA
B
05/01/2009 - 03/09/2012 LEERINK SWANN LLC (CRD#:39011) BOSTON, MA
B
01/01/2008 - 05/19/2009 WELLS FARGO ADVISORS, LLC (CRD#:19616) BOSTON, MA
B
09/05/2002 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) BOSTON, MA
B
02/07/2001 - 03/11/2002 FIRST UNION SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
B
12/20/2000 - 01/16/2001 SANDS BROTHERS & CO., LTD. (CRD#:26816) NEW YORK, NY
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B
Broker
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Investment Adviser
Disclosures
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.