Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Gorman is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. Sean has been in the industry since February 2, 2003. Sean is registered with the Securities and Exchange Commission (SEC) and FINRA. Sean is also registered in several states as an investment advisor representative. Sean has a variety of designations, including Certified Financial Planner. Sean holds the Series 7, Series 63, Series 66, and SIE licenses. Sean has experience in a variety of financial services, including investment management, financial planning, and retirement planning. Sean is committed to providing clients with personalized financial advice and guidance. Sean is a member of the Merrill Lynch team and is committed to helping clients achieve 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.
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
FL
05/05/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (STUART FL)
IL
10/01/2008 - 04/28/2011
J.P. MORGAN SECURITIES LLC (WINNETKA IL)
IL
07/01/2006 - 10/01/2008
J.P. MORGAN SECURITIES INC. (WINNETKA IL)
IL
05/06/2004 - 07/01/2006
BANC ONE SECURITIES CORPORATION (WILMETTE IL)
NY
11/20/2001 - 02/21/2003
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
BOTH
Issued 5/5/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/6/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/2001
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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