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Sean Vincent Carolan

Morgan Stanley

Minneapolis, MN

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-11-28
MN RA APPROVED 2014-02-06
  • TX RA
    APPROVED_RES
    Since 2016-11-28
  • MN RA
    APPROVED
    Since 2014-02-06

Branch Locations

225 South 6Th Street, Minneapolis, MN 55402 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Citigroup Global Markets Inc. Minneapolis MN 12/1997 Present
Morgan Stanley Smith Barney Minneapolis MN 06/2009 Present
  • 12/1997 → Present
    Citigroup Global Markets Inc.
    Minneapolis, MN
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Minneapolis, MN
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2002-01-28
  • S63 Uniform Securities Agent State Law Examination
    2002-01-28
Other Names
  • Sean V Carolan

View on SEC IAPD

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HAYS FINANCIAL GROUP, LLC · MINNEAPOLIS, MN
THRIVENT ASSET MANAGEMENT, LLC · MINNEAPOLIS, MN
THRIVENT PRIVATE INVESTMENTS · MINNEAPOLIS, MN
THRIVENT FINANCIAL FOR LUTHERANS · MINNEAPOLIS, MN
CETERA INVESTMENT ADVISERS LLC · MINNEAPOLIS, MN
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