Sean R. Dignan

GORDON CARLSON & ASSOCIATES

Indio, CA

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CRD#: 1689686

Professional summary

Sean Robert Dignan, who also goes by Sean R Dignan, is a registered financial advisor currently at GORDON CARLSON & ASSOCIATES located in Indio, California.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Sean has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sean R Dignan

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Insurance agent, investment related, 17091 Green Lane #C, Huntington Beach, CA 92649, Insurance agent, started 11/2024, approximately 20/month, up to 10 hours/month during trading hours. Uber Technologies, Remote, Driver, Started 06/2024, approximately 80/month, up to 10 hours/month during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Robert Dignan's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 15, 2022 - Present

GORDON CARLSON & ASSOCIATES

RIA

CRD#: 149891

Indio, CA

Past

July 18, 2019 - August 3, 2020

INDEX FUND ADVISORS, INC.

RIA

CRD#: 109143

IRVINE, CA

Past

March 5, 2014 - September 5, 2017

ACORNS SECURITIES, LLC

CRD#: 168172

Irvine, CA

Past

September 27, 2013 - September 5, 2017

ACORNS

RIA

CRD#: 165926

IRVINE, CA

Past

December 10, 2012 - January 6, 2014

MORRIS FINANCIAL, INC.

CRD#: 18561

HUNTINGTON BEACH, CA

Past

January 26, 2011 - December 31, 2019

SRD CAPITAL MANAGEMENT

RIA

CRD#: 151319

HUNTINGTON BEACH, CA

Past

January 6, 2010 - November 9, 2010

SRD CAPITAL MANAGEMENT

RIA

CRD#: 151319

HUNTINGTON BEACH, CA

Past

September 11, 2009 - December 14, 2010

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

HUNTINGTON BEACH, CA

Past

September 4, 2009 - December 14, 2010

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

HUNTINGTON BEACH, CA

Past

May 30, 2007 - August 4, 2009

NEWPORT COAST SECURITIES, INC.

RIA

CRD#: 16944

HUNTINGTON BEACH, CA

Past

September 25, 1996 - August 4, 2009

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

NEW YORK, NY

Past

March 20, 1995 - August 2, 1996

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 20, 1992 - January 17, 1995

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

May 30, 1991 - November 22, 1991

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

Past

July 21, 1987 - September 18, 1990

SECURITIES WEST, INC.

CRD#: 4898

SANTA ANA, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(7/15/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/23/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/20/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/5/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/22/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/18/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/5/2002

General Securities Principal Examination

Current Firm

GORDON CARLSON & ASSOCIATES

ELM MONEY MANAGEMENT LLC | GORDON CARLSON & ASSOCIATES

CRD#: 149891 / SEC#: 801-70452

RIA

Registered Investment Advisory firm - (6/28/2012 Terminated)

California

Registered Investment Advisory firm - (4/20/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Indio, CA

Mailing Address

Phone number

(949) 528-6712

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	531
AUM (Assets Under Management)	$ 91,017,870

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.

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Advisor Monitoring

Firm Stability Insights

Sean R. Dignan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Robert Dignan's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEX FUND ADVISORS, INC.

ACORNS SECURITIES, LLC

ACORNS

MORRIS FINANCIAL, INC.

SRD CAPITAL MANAGEMENT

SRD CAPITAL MANAGEMENT

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

NEWPORT COAST SECURITIES, INC.

NEWPORT COAST SECURITIES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

QUEST CAPITAL STRATEGIES, INC.

SECURITIES WEST, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/23/2013

Series 63

Date: 1/20/1993

SIE

Date: 9/5/2017

Series 55

Date: 4/22/2000

Series 7

Date: 7/18/1987

Series 24

Date: 4/5/2002

Current Firm

GORDON CARLSON & ASSOCIATES

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GORDON CARLSON & ASSOCIATES

TRUST BUT VERIFY

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