Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Faeth is a financial professional with over 20 years of experience in the financial services industry. Currently, Sean is a registered representative of Wells Fargo Clearing Services, LLC. Sean previously held positions with Wells Fargo Investments, LLC and Dougherty & Company LLC. Sean holds several industry certifications, including the Series 7, Series 24, Series 27, and Series 99TO exams.
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
MN
01/03/2011 - Present
Wells Fargo Clearing Services, LLC (MINNEAPOLIS MN)
MN
04/21/2003 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (MINNEAPOLIS MN)
MN
08/04/1998 - 12/22/2000
DOUGHERTY & COMPANY LLC (MINNEAPOLIS MN)
BC
Issued 02/11/2022
Series 24 - General Securities Principal Examination
BC
Issued 07/28/1998
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 12/15/2021
Series 7TO - General Securities Representative Examination
BC
Issued 10/13/2021
SIE - Securities Industry Essentials 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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