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 Thompson is a financial advisor at Wedbush Securities Inc. with over 25 years of experience in the industry. Sean is a registered representative with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7, 24, 63 and 65 licenses. Sean specializes in providing financial planning, portfolio management, and investment advisory services to individuals, businesses, and institutions.
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.
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
CA
02/25/2004 - Present
Wedbush Securities Inc. (LOS ANGELES CA)
NE
11/19/2001 - 12/17/2003
SECURITIES AMERICA, INC. (LAVISTA NE)
CA
02/09/1999 - 11/02/2001
NATIONAL PLANNING CORPORATION (LOS ANGELES CA)
NY
06/05/1997 - 11/24/1998
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
03/21/1997 - 06/06/1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 05/30/1997
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 04/11/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/22/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/20/1997
Series 7 - General Securities 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
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, 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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