Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Naughton is a financial advisor at RBC Capital Markets, LLC with over 16 years of experience in the industry. Sean has a strong background in investment analysis and portfolio management and holds the Series 7, 24, 86, 87 and SIE licenses. Sean also holds the Chartered Financial Analyst designation. Sean has a wide range of experience in serving various client types including high net worth individuals, corporations, individuals other than high net worth, pension and profit sharing plans and charitable organizations. Previously, Sean was employed at Piper Jaffray & Co. in Minneapolis, MN.
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.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
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2
MN
07/21/2022 - Present
RBC Capital Markets, LLC (MINNEAPOLIS MN)
MN
08/01/2007 - 05/10/2017
PIPER JAFFRAY & CO. (MINNEAPOLIS MN)
BC
Issued 09/07/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/30/2018
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/2007
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 09/24/2007
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 07/30/2007
Series 7 - General Securities Representative Examination
Active
Inactive
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
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Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
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New York Stock Exchange
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