Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean David Thompson is a registered representative with Northwestern Mutual Investment Services, LLC. Sean is based in West Seneca, NY and has been in the industry since May 16, 2023. Sean holds the Series 63, Series 7TO and SIE licenses. Sean has been registered with the state of New York since September 7, 2023.
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.
Investment research; referrals to other advisers
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.
Referral fees
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2
NY
05/17/2023 - Present
Northwestern Mutual Investment Services, LLC (West Seneca NY)
BC
Issued 08/23/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/17/2023
Series 7TO - General Securities Representative Examination
BC
Issued 05/03/2023
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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