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 financial advisor with Northwestern Mutual Investment Services, LLC. Sean holds a Series 7TO and Series 63 license and is registered with FINRA. Sean has been in the financial services industry since May 2023. Sean has a branch office located in West Seneca, NY. Sean is registered in New York.
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
1
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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