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Sean Michael Whitten

Wells Fargo Securities, LLC

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About Sean Michael Whitten

Sean Whitten is a financial advisor with Wells Fargo Securities, LLC. Sean has been in the financial services industry since 2015 and has a wide range of experience in the field. Sean holds the Series 3, 7, 99, and 63 licenses, as well as the SIE designation. Sean is registered in all 50 states, as well as Puerto Rico and the Virgin Islands.

Firm Information

Sean Whitten is currently registered with Wells Fargo Securities, LLC. Wells Fargo Securities, LLC is a Limited Liability Company formed in March 2003. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

1,325

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Sean Whitten’s Registration & Firm History

NC

11/11/2015 - Present

Wells Fargo Securities, LLC (CHARLOTTE NC)

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Licenses & Designations

BC

Issued 12/04/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/01/2017

Series 7 - General Securities Representative Examination

BC

Issued 03/31/2016

Series 3 - National Commodity Futures Examination

BC

Issued 11/11/2015

Series 99 - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

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 Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, 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 MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Sean Michael Whitten.
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