Sean M. Mccaffery
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sean Michael Mccaffery was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1982. Sean had worked at 14 firms and has passed the Series 66, Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2007 - April 7, 2014
STRATEGIC ADVISERS LLC
November 13, 2006 - April 7, 2014
FIDELITY BROKERAGE SERVICES LLC
October 5, 2000 - April 10, 2006
JEFFERIES LLC
January 2, 1997 - November 6, 2000
ABN AMRO INCORPORATED
July 2, 1996 - January 2, 1997
THE CHICAGO CORPORATION
April 3, 1993 - June 29, 1996
DAIN RAUSCHER INCORPORATED
September 4, 1990 - March 2, 1993
WELLS FARGO CLEARING SERVICES, LLC
June 30, 1988 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
September 23, 1985 - June 7, 1988
WEDBUSH SECURITIES INC.
April 29, 1985 - August 16, 1985
ROONEY, PACE INC.
May 5, 1983 - April 23, 1985
TROSTER SINGER CORPORATION
March 9, 1983 - March 17, 1983
KUHNS BROTHERS & LAIDLAW, INC.
October 12, 1982 - March 2, 1983
PHILIPS, APPEL & WALDEN, INC.
March 1, 1982 - April 7, 1983
AMSWISS INTERNATIONAL CORP.
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 2/19/1999
Limited Representative-Equity Trader ExamCurrent Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
