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 Smith is a registered investment advisor with RBC Capital Markets, LLC. Sean has been in the securities industry since 1997 and is licensed in Washington and Texas. Sean has previously worked for Wells Fargo Clearing Services, LLC, Wells Fargo Investments, LLC, and WAMU Investments, Inc. Sean's current registrations include Series 6, 7, 63 and 65 licenses as well as the Securities Industry Essentials (SIE) exam. Sean provides financial planning services to a variety of clients including individuals, corporations, businesses, and charitable organizations. Sean has been providing financial planning services since 2011.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
WA
04/26/2022 - Present
RBC Capital Markets, LLC (SEATTLE WA)
WA
01/03/2011 - 05/04/2022
WELLS FARGO CLEARING SERVICES, LLC (SEATTLE WA)
WA
02/04/2008 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (SEATTLE WA)
WA
09/14/1998 - 02/12/2008
WAMU INVESTMENTS, INC. (SEATTLE WA)
CA
07/28/1997 - 08/11/1998
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
IA
Issued 09/08/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/28/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/13/1998
Series 7 - General Securities Representative Examination
BC
Issued 07/25/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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