{"id":11571,"date":"2024-11-19T12:32:44","date_gmt":"2024-11-19T17:32:44","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11571"},"modified":"2024-11-19T12:32:44","modified_gmt":"2024-11-19T17:32:44","slug":"former-lpl-broker-sean-mostero-barred-by-finra","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/former-lpl-broker-sean-mostero-barred-by-finra\/","title":{"rendered":"Former LPL Broker Sean Mostero Barred By FINRA"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-11572 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/11\/Blog-Graphics7.png\" alt=\"Sean Mostero (Sean Francis Mostero CRD#\u00a06447158) is a former registered broker and investment advisor most recently employed with LPL Financial LLC (CRD# 6413) of Torrance, CA. His previous employers were Cetera Advisors LLC (CRD# 10299) and First Allied Securities, Inc. (CRD# 32444), also of Torrence. He has been in the industry since 2017.\n\nMostero has four disclosures in his CRD. The first was on 2\/29\/2024, where he was terminated by Alessandra Capital Management, LLC (CRD#\u00a0123305), also of Torrance. The company stated that Mostero \u201cabandoned\u201d his job at Alessandra and refused to cooperate with the firm\u2019s requests for information regarding a complaint about his professional conduct.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/11\/Blog-Graphics7.png 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/11\/Blog-Graphics7-180x120.png 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Sean Mostero (Sean Francis Mostero CRD#\u00a0<a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/6447158\" target=\"_blank\">6447158<\/a>) is a former registered broker and investment advisor most recently employed with LPL Financial LLC (CRD# 6413) of Torrance, CA. His previous employers were Cetera Advisors LLC (CRD# 10299) and First Allied Securities, Inc. (CRD# 32444), also of Torrence. He has been in the industry since 2017. <a href=\"https:\/\/www.silverlaw.com\/blog\/former-lpl-broker-sean-mostero-barred-by-finra\/#more-11571\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Sean Mostero (Sean Francis Mostero CRD#\u00a06447158) is a former registered broker and investment advisor most recently employed with LPL Financial LLC (CRD# 6413) of Torrance, CA. His previous employers were Cetera Advisors LLC (CRD# 10299) and First Allied Securities, Inc. (CRD# 32444), also of Torrence. He has been in the industry since 2017. Continue reading [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577,580],"tags":[],"class_list":["post-11571","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Former LPL Broker Sean Mostero Barred By FINRA &#8212; Securities Arbitration Lawyers Blog &#8212;<\/title>\n<meta name=\"description\" content=\"Sean Mostero is a former registered broker and investment advisor most recently employed with LPL Financial LLC of Torrance, CA.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/former-lpl-broker-sean-mostero-barred-by-finra\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Former LPL Broker Sean Mostero Barred By FINRA &#8212; Securities Arbitration Lawyers Blog &#8212;\" \/>\n<meta name=\"twitter:description\" content=\"Sean Mostero is a former registered broker and investment advisor most recently employed with LPL Financial LLC of Torrance, CA.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/11\/Blog-Graphics7.png\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Former LPL Broker Sean Mostero Barred By FINRA &#8212; Securities Arbitration Lawyers Blog &#8212;","description":"Sean Mostero is a former registered broker and investment advisor most recently employed with LPL Financial LLC of Torrance, CA.","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/former-lpl-broker-sean-mostero-barred-by-finra\/","twitter_card":"summary_large_image","twitter_title":"Former LPL Broker Sean Mostero Barred By FINRA &#8212; Securities Arbitration Lawyers Blog &#8212;","twitter_description":"Sean Mostero is a former registered broker and investment advisor most recently employed with LPL Financial LLC of Torrance, CA.","twitter_image":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/11\/Blog-Graphics7.png","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.silverlaw.com\/blog\/former-lpl-broker-sean-mostero-barred-by-finra\/#article","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/former-lpl-broker-sean-mostero-barred-by-finra\/"},"author":{"name":"Silver Law Group","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"headline":"Former LPL Broker Sean Mostero Barred By FINRA","datePublished":"2024-11-19T17:32:44+00:00","mainEntityOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/former-lpl-broker-sean-mostero-barred-by-finra\/"},"wordCount":371,"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/former-lpl-broker-sean-mostero-barred-by-finra\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/11\/Blog-Graphics7.png","articleSection":["FINRA Disciplinary Actions","Stockbroker Misconduct"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/former-lpl-broker-sean-mostero-barred-by-finra\/","url":"https:\/\/www.silverlaw.com\/blog\/former-lpl-broker-sean-mostero-barred-by-finra\/","name":"Former LPL Broker Sean Mostero Barred By FINRA &#8212; Securities Arbitration Lawyers Blog &#8212;","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/former-lpl-broker-sean-mostero-barred-by-finra\/#primaryimage"},"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/former-lpl-broker-sean-mostero-barred-by-finra\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/11\/Blog-Graphics7.png","datePublished":"2024-11-19T17:32:44+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"Sean Mostero is a former registered broker and investment advisor most recently employed with LPL Financial LLC of Torrance, CA.","breadcrumb":{"@id":"https:\/\/www.silverlaw.com\/blog\/former-lpl-broker-sean-mostero-barred-by-finra\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.silverlaw.com\/blog\/former-lpl-broker-sean-mostero-barred-by-finra\/"]}]},{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.silverlaw.com\/blog\/former-lpl-broker-sean-mostero-barred-by-finra\/#primaryimage","url":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/11\/Blog-Graphics7.png","contentUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2024\/11\/Blog-Graphics7.png","width":300,"height":200},{"@type":"BreadcrumbList","@id":"https:\/\/www.silverlaw.com\/blog\/former-lpl-broker-sean-mostero-barred-by-finra\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.silverlaw.com\/blog\/"},{"@type":"ListItem","position":2,"name":"Former LPL Broker Sean Mostero Barred By FINRA"}]},{"@type":"WebSite","@id":"https:\/\/www.silverlaw.com\/blog\/#website","url":"https:\/\/www.silverlaw.com\/blog\/","name":"Securities Arbitration Lawyers Blog","description":"Published by Securities Arbitration Lawyers \u2014 Silver Law Group","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.silverlaw.com\/blog\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752","name":"Silver Law Group","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","url":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","caption":"Silver Law Group"}}]}},"jetpack_featured_media_url":"","_links":{"self":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/11571","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/comments?post=11571"}],"version-history":[{"count":1,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/11571\/revisions"}],"predecessor-version":[{"id":11573,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/11571\/revisions\/11573"}],"wp:attachment":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/media?parent=11571"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/categories?post=11571"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/tags?post=11571"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}