Sean Haley Email & Phone Number
FVP and Chief Compliance Officer @ PlanMember Securities Corporation
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Sean Haley Location
- Los Angeles, CA, US
Sean Haley Work
- FVP and Chief Compliance Officer @ (March 2019 - Present)
- FVP and Chief Compliance Officer, Advisory @ (January 2019 - Present)
- Assistant Vice President, Compliance @ (October 2015 - December 2018)
- SVP, Chief Compliance Officer @ (September 2005 - April 2015)
- Assistant Vice President, Compliance @ (December 2003 - September 2005)
- Director of Compliance @ (July 2000 - December 2003)
- Registered Representative @ (February 1997 - September 1998)
Sean Haley Education
- California Polytechnic State University-San Luis Obispo
Bachelor of Arts (B.A.) (Political Science and Government/Pre-Law)
1991-1996
Sean Haley Skills
- Alternative Investments
- Estate Planning
- Series 63
- Financial Advisory
- Fixed Annuities
- Securities Regulation
- Insurance
- Retirement Planning
- Financial Planning
- Portfolio Management
- Investments
- Finance
- 401k
- Investment Advisory
- Asset Allocation
- Financial Services
- Equities
- Wealth Management
- Mutual Funds
- AML
- FINRA
- Risk Management
- Asset Management
- Change Management
- Series 24
- Trading
- Retirement
- Series 7
- Securities
Sean Haley Summary
- Sean Haley, based in Los Angeles, CA, US, is currently a FVP and Chief Compliance Officer at PlanMember Securities Corporation. Sean Haley brings experience from previous roles at PlanMember Securities Corporation and National Planning Corporation (NPC). Sean Haley holds a 1991 - 1996 Bachelor of Arts (B.A.) in Political Science and Government/Pre-Law @ California Polytechnic State University-San Luis Obispo. With a robust skill set that includes Alternative Investments, Estate Planning, Series 63, Financial Advisory, Fixed Annuities and more. Sean Haley has 2 emails and 3 mobile phone numbers on RocketReach.
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