Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Cates is a financial advisor with over 20 years of experience in the industry. Sean has a Series 7, Series 63, Series 65, Series 66, Series 9, Series 10, and Series 23. Sean is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has previously worked at BANC OF AMERICA INVESTMENT SERVICES, INC., GOLDMAN, SACHS & CO., BANC ONE SECURITIES CORPORATION, EQ FINANCIAL CONSULTANTS, INC., and THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES. Sean provides advisory services including financial planning, portfolio management, and selection of other advisors. Sean focuses on high-net-worth individuals, individuals other than high-net-worth, corporations or other businesses, charitable organizations, insurance companies, and pension and profit-sharing plans.
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
TX
08/26/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DALLAS TX)
TX
07/26/2007 - 01/20/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (DALLAS TX)
NY
05/09/2000 - 01/22/2007
GOLDMAN, SACHS & CO. (NEW YORK NY)
IL
11/16/1999 - 04/18/2000
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
NY
12/24/1998 - 09/10/1999
EQ FINANCIAL CONSULTANTS, INC. (NEW YORK NY)
NY
12/24/1998 - 09/10/1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
BOTH
Issued 08/25/2011
Series 66 - Uniform Combined State Law Examination
IA
Issued 05/08/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/09/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/28/2005
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 11/13/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/06/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/01/2011
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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