Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Knowles is a financial advisor with over 15 years of experience in the industry. Sean is registered with Osaic Institutions, Inc., and has previously worked with several other firms, including Cathay Securities, Inc., American Trust Investment Services, Inc., Wells Fargo Advisors Financial Network, LLC, and Chase Investment Services Corp. Sean currently holds licenses for Series 7, Series 63, and Series 65 examinations and is registered in 11 states. Sean is committed to providing his clients with personalized financial planning and investment advice to help them 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.
Comprehensive financial plans to help you achieve your personal and business 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.
Personalized portfolio management to meet individual financial objectives.
Solicitation services for other advisers
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.
A percentage of the total value of assets under management is charged.
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2
NY
08/11/2023 - Present
Osaic Institutions, Inc. (NEW YORK NY)
NY
03/03/2023 - 05/17/2023
CATHAY SECURITIES, INC. (NEW YORK NY)
FL
08/09/2018 - 04/19/2021
AMERICAN TRUST INVESTMENT SERVICES, INC. (Coconut Creek FL)
NY
03/06/2013 - 12/01/2016
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (BROOKLYN NY)
NY
07/24/2006 - 03/08/2011
CHASE INVESTMENT SERVICES CORP. (BROOKLYN NY)
FL
10/05/2004 - 01/31/2005
GUNNALLEN FINANCIAL, INC (TAMPA FL)
GA
08/03/2004 - 09/22/2004
J.P. TURNER & COMPANY, L.L.C. (ATLANTA GA)
NY
10/12/2001 - 09/16/2002
BERNARD HEROLD & CO., INC. (NEW YORK NY)
NY
02/06/2001 - 06/19/2001
BEAR, STEARNS & CO. INC. (NEW YORK NY)
FL
01/03/2000 - 05/22/2000
JWGENESIS SECURITIES, INC. (BOCA RATON FL)
FL
05/08/1999 - 12/31/1999
GSG SECURITIES, INC. (BOCA RATON FL)
NY
11/28/1998 - 11/30/1998
THE GOLDEN, LENDER FINANCIAL GROUP, INC. (NEW YORK NY)
NY
07/24/1997 - 09/03/1997
FIRST PROVIDENCE FINANCIAL GROUP, INC. (PORT WASHINGTON NY)
NY
05/05/1997 - 07/08/1997
MAIDSTONE FINANCIAL, INC. (NEW YORK NY)
FL
04/17/1997 - 05/06/1997
D.L. CROMWELL INVESTMENTS, INC. (BOCA RATON FL)
IA
Issued 08/10/2023
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/08/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/02/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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