Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Michael Mullin is a financial advisor who has been in the industry since 1998. Sean is currently registered with LPL Financial LLC. Prior to that, Sean was affiliated with BANCWEST INVESTMENT SERVICES, INC. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Sean holds licenses for Series 3, Series 4, Series 7, Series 9, Series 10, Series 23, Series 24, Series 65, and Series 66.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
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2
CA
07/19/2023 - Present
LPL Financial LLC (SACRAMENTO CA)
CA
01/20/2016 - 07/19/2023
BANCWEST INVESTMENT SERVICES, INC. (SACRAMENTO CA)
CA
10/23/2009 - 01/04/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SACRAMENTO CA)
MA
10/20/2004 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (WORCESTER MA)
NY
08/26/1998 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
IA
Issued 03/03/2016
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 10/02/1998
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 09/07/2005
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 09/22/2000
Series 4 - Registered Options Principal Examination
BC
Issued 06/07/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/26/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/04/2010
Series 3 - National Commodity Futures Examination
BC
Issued 08/25/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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