Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean McSweeny is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Sean has been in the industry since 1992 and has been registered in California and Texas. Sean holds several licenses and designations including Series 7, 9, 10, 31, and 63. Sean is a licensed investment advisor representative in California and Texas. Sean specializes in investment management for individuals and businesses. Sean also provides educational seminars and selection of other advisors.
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.
Guidance on pension options to ensure a secure financial future.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
CA
01/28/2000 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CARLSBAD CA)
CO
01/07/1992 - 07/23/1992
CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)
IA
Issued 1/25/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/14/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 8/24/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 6/15/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/23/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 1/3/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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