Sean Mccormack

CRD 2433342 · Charles Schwab & Co., Inc. · New York City, NY

Broker

Also appears in the source record as: Sean C Mccormack; Sean Christian Mccormack

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Not registered in this capacity
Exams passed (13): Series 22TOSeries 62Series 82TOSeries 6TOSeries 99TOSIESeries 7Series 17Series 39Series 26Series 14Series 24Series 63
Registered states (1): New York
Years in the industry (source record): 26
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (8)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
New York City, NY · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
New York City, NY · IA capacity

start not retrieved → present
Wells Fargo Prime Services, LLC
New York, NY · BC capacity

Jul 27, 2015 → Oct 31, 2025
Wells Fargo Securities, LLC
New York, NY · BC capacity

Nov 20, 2014 → Oct 31, 2025
Wells Fargo Clearing Services, LLC
New York, NY · BC capacity

Feb 22, 2022 → Oct 30, 2025
Ubs Securities LLC
New York, NY · BC capacity

Nov 18, 2010 → May 8, 2014
Citigroup Global Markets Inc.
New York, NY · BC capacity

Oct 31, 1995 → May 10, 2007
Salomon Brothers Inc.
New York, NY · BC capacity

Nov 28, 1997 → Sep 1, 1998

Source & corrections

Where this page comes from

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