Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Ladley is a financial advisor who has been in the industry since 1998. Sean is currently registered with Hilltop Securities Inc., and has previously held positions at Wells Fargo Securities, LLC, Wells Fargo Institutional Securities, LLC, Wachovia Securities, LLC, and First Union Capital Markets Corp. Sean holds Series 3, 7, 10, 24, 52TO, 53, 57TO, 63, 99TO and SIE licenses. Sean is licensed to provide investment advisory services in all 50 states and the District of Columbia.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
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.
A percentage of the total value of assets under management is charged.
12b-1 fees
1
2
TX
08/10/2021 - Present
Hilltop Securities Inc. (DALLAS TX)
NC
07/01/2003 - 06/30/2021
WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)
NC
03/06/2013 - 06/24/2014
WELLS FARGO INSTITUTIONAL SECURITIES, LLC (CHARLOTTE NC)
MO
10/01/1999 - 07/01/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
08/28/1998 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
BC
Issued 11/02/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/20/2010
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/05/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/12/2003
Series 3 - National Commodity Futures Examination
BC
Issued 08/26/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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