Sean P. Mccaffrey

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CRD#: 1896917

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 Patrick Mccaffrey was a registered financial professional .

Sean is a previously registered financial professional and started their career in finance in 1988. Sean had worked at 8 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 9, 2021 - May 2, 2023

SARASIN ASSET MANAGEMENT LIMITED

RIA

CRD#: 115788

NEW YORK, NY

Past

January 28, 2014 - September 13, 2019

CBIS FINANCIAL SERVICES, INC.

CRD#: 20872

NEW YORK, NY

Past

February 4, 2008 - March 10, 2010

O'SHAUGHNESSY ASSET MANAGEMENT, LLC

RIA

CRD#: 144594

STAMFORD, CT

Past

December 22, 1999 - February 9, 2000

ABEL/NOSER CORP.

CRD#: 7537

NEW YORK, NY

Past

April 19, 1993 - July 13, 1993

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

April 19, 1993 - July 13, 1993

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

February 8, 1989 - August 19, 1989

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

November 23, 1988 - January 25, 1989

INVESTORS CENTER, INC.

CRD#: 14670

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".

SARASIN ASSET MANAGEMENT LIMITED

CRD#: 115788 / SEC#: 801-62077

RIA

Registered Investment Advisory firm - (6/6/2003 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 1/31/2014

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/2/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/28/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/16/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SARASIN ASSET MANAGEMENT LIMITED

CRD#: 115788 / SEC#: 801-62077

RIA

Registered Investment Advisory firm - (6/6/2003 Approved)

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Contact information

Main Address

100 St Paul's Churchyard Juxon House, London, EC4M 8BU

Mailing Address

Phone number

+(44)(20)7038 7000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 SAM FORM ADV PART 2A AND 2B (3/27/2025)

Regulatory assets under management

Total Number of Accounts	155
AUM (Assets Under Management)	$ 579,493,275

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 P. Mccaffrey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CBIS FINANCIAL SERVICES, INC.

O'SHAUGHNESSY ASSET MANAGEMENT, LLC

ABEL/NOSER CORP.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

AMERIPRISE ADVISOR SERVICES, INC.

INVESTORS CENTER, INC.

Primary Firm SEC Registration

SARASIN ASSET MANAGEMENT LIMITED

State Registrations and Notice Filings

Exams

Series 63

Date: 1/31/2014

Series 66

Date: 6/2/2008

SIE

Date: 10/1/2018

Series 7

Date: 1/28/2014

Series 6

Date: 4/16/1993

Current Firm

SARASIN ASSET MANAGEMENT LIMITED

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SARASIN ASSET MANAGEMENT LIMITED

TRUST BUT VERIFY

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