Sean Lalljee is a registered investment advisor, based in Fairfield, CT, with 27 years of industry experience.
Location
2150 Post Road, Suite 301, Fairfield, CT, 06824
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Sean is an investment adviser representative of HJ Sims Capital Management, dedicating about 10-20% of his time to this role. His primary business is providing brokerage services through a broker-dealer.
Employment History
Current Registrations
Herbert J. Sims & CO, INC.Broker
November 2022 - Present · 3 yrs 6 mos
Herbert J. Sims Capital Management, INC.
November 2022 - Present · 3 yrs 6 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
February 2005 - November 2022 · 17 yrs 9 mos
Wells Fargo Clearing Services, LLCBroker
December 2004 - November 2022 · 17 yrs 11 mos
Chase Investment Services CORP.Broker
September 1998 - December 2004 · 6 yrs 3 mos
State Registrations15 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.