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Sean Francis Flood

Charles Schwab & CO., Inc.

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About Sean Francis Flood

Sean Flood is a financial advisor currently registered with Charles Schwab & Co., Inc. located in Westlake, Texas. Sean has been in the financial industry since 2010 and has experience with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley and Key Investment Services LLC. Sean has passed several industry exams including the Series 6, 7, and 66 and is registered in many states including Alabama, Arizona, California and Colorado. Sean is able to provide financial planning and other advisory services.

Firm Information

Sean Flood is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Sean Flood’s Registration & Firm History

TX

07/01/2020 - Present

Charles Schwab & CO., Inc. (Westlake TX)

OH

01/07/2019 - 06/14/2019

KEY INVESTMENT SERVICES LLC (CLEVELAND OH)

CT

07/08/2013 - 01/16/2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (STAMFORD CT)

ME

08/09/2010 - 02/20/2013

MORGAN STANLEY (PORTLAND ME)

MA

01/14/2008 - 04/28/2009

BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)

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Licenses & Designations

BOTH

Issued 07/01/2020

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/01/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/16/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/06/2010

Series 7 - General Securities Representative Examination

BC

Issued 01/11/2008

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Sean Francis Flood.
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