Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Adler is an active investment advisor representative with Wells Fargo Clearing Services, LLC. Sean has been in the financial services industry since 2009. Before joining Wells Fargo, Sean worked at J.P. Morgan Securities LLC and Chase Investment Services Corp. Sean holds the Series 66, Series 7, and the Securities Industry Essentials (SIE) licenses. Sean is registered in 27 states and the District of Columbia. Sean also owns and operates Nana Hats, LLC, which provides investment-related services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
03/08/2024 - Present
Wells Fargo Clearing Services, LLC (SAN DIEGO CA)
CA
10/01/2012 - 03/09/2024
J.P. MORGAN SECURITIES LLC (SAN DIEGO CA)
CA
01/21/2010 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (SAN DIEGO CA)
CA
10/19/2009 - 12/31/2009
MML INVESTORS SERVICES, INC. (LA JOLLA CA)
BOTH
Issued 11/16/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/16/2009
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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