Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Carlin Zapel is an Investment Advisor Representative with Wells Fargo Clearing Services, LLC based in Los Angeles, CA. Sean has been in the financial industry since December 2000 and specializes in providing investment advisory services to individuals, corporations, and charitable organizations. Sean has a wide range of experience and knowledge, having worked with a variety of clients, including high-net-worth individuals, pension plans, and pooled investment vehicles.
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
06/13/2011 - Present
Wells Fargo Clearing Services, LLC (LOS ANGELES CA)
CA
06/01/2009 - 06/20/2011
MORGAN STANLEY SMITH BARNEY (LOS ANGELES CA)
CA
12/22/2000 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (LOS ANGELES CA)
BC
Issued 02/02/2001
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 01/08/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/05/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 12/21/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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