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Sean James Mahoney

Advisors Asset Management, Inc.

Boca Raton, FL

Malvern, PA

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Current Employers
Advisors Asset Management, Inc.

18925 Base Camp Road Suite 203, Monument, CO 80132 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2021-08-04
  • PA RA
    APPROVED
    Since 2021-08-04

Branch Locations

1499 W. Palmetto Park Road Suite 401, Boca Raton, FL 33486 • United States

Malvern, PA • 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
Nuveen Investments Chicago IL 05/2016 05/2019
Advisors Asset Management, Inc Monument CO 05/2019 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-05-09
  • S66 Uniform Combined State Law Examination
    2013-05-09
Other Names
  • Sean J Mahoney

View on SEC IAPD

Other Firms

SUN CAPITAL ADVISORS, L.P.
AMERIPRISE FINANCIAL SERVICES, LLC
HIGHTOWER ADVISORS, LLC
ISAM FUNDS (USA) LLC
J.P. MORGAN SECURITIES LLC
FOCUS PARTNERS WEALTH, LLC
UBS FINANCIAL SERVICES INC.
WELLS FARGO CLEARING SERVICES, LLC

Other Investors

THOMAS JETHRO DARDEN
Nancy JoeAnn Tush
LANCE P ROSS
BARBARA BLOOM VARGAS
ISABEL VOYER
JEFFREY MARK EAGLE
ELIZABETH V BRUNO
GREGORY DEHRMANN MISEYKO

Other Offices

SUN CAPITAL ADVISORS, L.P. · BOCA RATON, FL
AMERIPRISE FINANCIAL SERVICES, LLC · BOCA RATON, FL
HIGHTOWER ADVISORS, LLC · Boca Raton, FL
ISAM FUNDS (USA) LLC · BOCA RATON, FL
J.P. MORGAN SECURITIES LLC · Boca Raton, FL
FOCUS PARTNERS WEALTH, LLC · Boca Raton, FL
J.P. MORGAN SECURITIES LLC · Boca Raton, FL
FOCUS PARTNERS WEALTH, LLC · Boca Raton, FL

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