Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Jay Thomas is a financial advisor with over 13 years of experience in the industry. Sean has a broad range of experience in the financial services industry and has held positions with several firms, including Wells Fargo Clearing Services, LLC, Wells Fargo Funds Distributor, LLC, and J.P. Morgan Institutional Investments Inc. Sean is currently registered as a Registered Representative and Investment Advisor Representative with U.S. Bancorp Investments, Inc. Sean is dedicated to helping clients reach their financial goals.
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.
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.
A percentage of the total value of assets under management is charged.
12b-1,networking&shareholder serv,product partner arrangements
1
2
SD
08/25/2023 - Present
U.s. Bancorp Investments, Inc. (Sioux Falls SD)
CA
03/23/2021 - 11/12/2021
WELLS FARGO CLEARING SERVICES, LLC (SANTA ROSA CA)
CA
10/16/2018 - 11/03/2020
WELLS FARGO CLEARING SERVICES, LLC (SAINT HELENA CA)
NC
02/28/2013 - 03/02/2016
WELLS FARGO FUNDS DISTRIBUTOR, LLC (CHARLOTTE NC)
CA
02/05/2011 - 01/18/2013
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. (NAPA CA)
CA
04/04/2007 - 12/16/2009
WELLS FARGO FUNDS DISTRIBUTOR, LLC (SAN FRANCISCO CA)
CA
07/27/2005 - 03/30/2007
WELLS FARGO BROKERAGE SERVICES, L.L.C. (SAN FRANCISCO CA)
NC
04/11/2005 - 07/19/2005
WELLS FARGO FUNDS DISTRIBUTOR, LLC (CHARLOTTE NC)
MN
03/25/2005 - 04/11/2005
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
NA
05/21/1986 - 05/04/1988
GUARDIAN INVESTOR SERVICES CORPORATION
BOTH
Issued 02/22/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/06/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/25/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/16/2018
Series 7 - General Securities Representative Examination
BC
Issued 03/02/2016
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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