Sean D. Moriarity

FIRST TRUST ADVISORS LP

BOCA RATON, FL

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CRD#: 1887425

Professional summary

Sean Dempsey Moriarity is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Boca Raton, Florida and FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.

Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Sean has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Dempsey Moriarity's CRS (Customer Relationship Summary).

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

October 22, 2008 - Present

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

BOCA RATON, FL

Current

August 15, 2005 - Present

FIRST TRUST PORTFOLIOS L.P.

Office #1: 120 E. Liberty Drive Suite 400, Wheaton, IL 60187

CRD#: 28519

WHEATON, IL

Past

October 20, 2004 - August 11, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

BOCA RATON, FL

Past

October 20, 2004 - August 11, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

January 2, 2004 - October 20, 2004

QUICK & REILLY, INC.

RIA

CRD#: 11217

BOCA RATON, FL

Past

December 16, 2003 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

June 26, 2001 - December 19, 2003

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

BOCA RATON, FL

Past

June 26, 2001 - December 19, 2003

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

December 7, 1999 - June 18, 2001

VIEWTRADE SECURITIES, INC.

CRD#: 46987

BOCA RATON, FL

Past

June 21, 1996 - December 8, 1999

BARRON CHASE SECURITIES, INC.

CRD#: 18969

BOCA RATON, FL

Past

July 10, 1992 - July 3, 1996

EURO-ATLANTIC SECURITIES INC.

CRD#: 21367

BOCA RATON, FL

Past

June 20, 1989 - July 13, 1992

J. W. GANT & ASSOCIATES, INC.

CRD#: 7963

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(8/15/2005)

IAR

Florida
(3/19/2025)

Illinois
(8/15/2005)

IAR

Illinois
(10/22/2008)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/11/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/11/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/17/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/27/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 Approved)

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Contact information

Main Address

120 E. Liberty Drive Suite 400, Wheaton, IL 60187

Mailing Address

Phone number

(630) 765-8000

Established

Firm type

Fiscal year end

# of Employees

520

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FTA FORM ADV PART 2A BROCHURE - 03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,033
AUM (Assets Under Management)	$ 256,328,000,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Sean D. Moriarity

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Dempsey Moriarity's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST TRUST PORTFOLIOS L.P.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

VIEWTRADE SECURITIES, INC.

BARRON CHASE SECURITIES, INC.

EURO-ATLANTIC SECURITIES INC.

J. W. GANT & ASSOCIATES, INC.

Primary Firm SEC Registration

FIRST TRUST ADVISORS LP

State Registrations and Notice Filings

Exams

Series 66

Date: 7/11/2001

Series 63

Date: 8/11/1989

SIE

Date: 10/1/2018

Series 7

Date: 6/17/1989

Series 24

Date: 11/27/2001

FINRA

Current Firm

FIRST TRUST ADVISORS LP

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST TRUST ADVISORS LP

TRUST BUT VERIFY

Contact information

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