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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Kelly is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Sean has been in the financial services industry since 1993 and is registered with the Securities and Exchange Commission. Sean is licensed to provide investment advice in 53 states, including Texas, and has a broad range of experience in financial planning and investment management. Sean is a member of the Investments and Wealth Institute and helps develop exam questions for the CPWA designation.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
WA
02/01/1994 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (EVERETT WA)
IA
Issued 01/17/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/23/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/04/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/14/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/29/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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