Since October 2014, Sean has been President and CCO of FFIN Securities, Inc. in Salt Lake City, UT, and for the prior 5 years, he was in the same role at Vertical Capital Securities, LLC, in Irvine, CA. As President and CCO of these firms, he has been responsible for the daily management, supervision, and regulatory reporting. Sean was also CCO for Vertical Capital Asset Management, LLC, a California based Registered Investment Advisor, which was the Advisor for Vertical Capital’s publicly registered funds, and was responsible for Compliance oversight and reporting for the Advisor.
Sean has been a licensed professional in the securities industry for 22 years working with notable firms such as Merrill Lynch, PaineWebber, Quick and Reilly, Linsco Private Ledger ‘LPL’, and First Allied Securities. His experience with these firms has included the roles of Financial Advisor, Product Marketing, Compliance, and Supervision. He currently holds FINRA 4, 7, 24, 53, 63, 65, and 99 licenses.
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He is a graduate of the Robert O. Anderson School of Management at the University of New Mexico, having obtained a Bachelor of Business Administration degree in Finance. He is married and currently lives in Salt Lake City, Utah with his wife and daughter.