Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Tupy is a financial advisor with Capital Client Group, Inc. Sean has been a registered financial advisor since 2010 and holds the Series 63, 65, 7TO, 24, and 26 licenses. Sean has experience in the financial services industry for over 13 years. Sean is registered with the state of California and offers a variety of financial services including investment advisory services.
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.
Recommending affiliate as investment adviser of sma assets
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.
As agreed upon in a manner that covers registrant's costs
1
2
CA
05/21/2013 - Present
Capital Client Group, Inc. (IRVINE CA)
IA
Issued 05/20/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/21/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/16/2021
Series 24 - General Securities Principal Examination
BC
Issued 07/27/2012
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/23/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/08/2010
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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