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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Carroll is a financial advisor with Fidelity Personal And Workplace Advisors, a firm with over $1 billion in assets under management. Sean has been in the financial industry for over 5 years, serving a diverse clientele, including high-net-worth individuals, pension plans, and individuals other than high-net-worth. Sean is a licensed representative in 53 states and the District of Columbia. Sean holds the Series 6, 7, 63, and 65 securities licenses, and the SIE exam. Sean provides a range of financial planning services, including portfolio management for businesses and individuals, educational seminars, and selection of other advisors. Sean's previous employment includes experience with VALIC Financial Advisors, Inc. and PlanMember Securities Corporation.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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.
A percentage of the total value of assets under management is charged.
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2
CA
03/22/2023 - Present
Fidelity Personal AND Workplace Advisors (SANTA BARBARA CA)
CA
04/22/2021 - 10/07/2022
VALIC FINANCIAL ADVISORS, INC. (WOODLAND HILLS CA)
CA
07/23/2018 - 04/05/2021
PLANMEMBER SECURITIES CORPORATION (CARPINTERIA CA)
IA
Issued 05/04/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/24/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/30/2019
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/21/2018
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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