Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean P Herron is a financial advisor with Wells Fargo Clearing Services, LLC. Sean is a registered representative with the firm and has been in the industry since November 2014. Sean has a wide range of experience in the financial services industry, having previously worked at J.P. Morgan Securities LLC and Chase Investment Services Corp. Sean is a dedicated financial professional committed to providing his clients with the guidance and support they need to achieve their financial goals. Sean is registered in 49 states and the District of Columbia for securities transactions. He is also registered in 3 states as an Investment Advisor Representative. Sean is a member of the Financial Industry Regulatory Authority (FINRA).
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.
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.
Investment consulting services to institutional clients
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
05/24/2024 - Present
Wells Fargo Clearing Services, LLC (ROSEVILLE CA)
CA
03/30/2017 - 05/14/2024
J.P. MORGAN SECURITIES LLC (YREKA CA)
IL
07/06/2005 - 10/02/2007
CHASE INVESTMENT SERVICES CORP. (GLENVIEW IL)
IL
05/12/2005 - 07/06/2005
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
BOTH
Issued 08/18/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/24/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/26/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/11/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/30/2017
Series 7 - General Securities Representative Examination
BC
Issued 05/11/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, 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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