Sean D. Caston
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 D Caston, who also goes by Sean Dejon Caston, Sean Caston, Sean D Caston, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1990. Sean had worked at 12 firms and has passed the Series 66, Series 63, SIE 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
April 23, 2021 - April 27, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
April 23, 2021 - April 27, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
March 24, 2021 - May 20, 2021
AMERICAN TRUST INVESTMENT SERVICES, INC.
December 2, 2019 - September 2, 2020
DELTA INVESTMENT MANAGEMENT, LLC
September 9, 2019 - February 21, 2020
WESTPARK CAPITAL, INC.
May 16, 2018 - August 28, 2018
BARDI CO. LLC
November 17, 2016 - September 14, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 16, 2016 - September 14, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 14, 2014 - December 19, 2014
GLP INVESTMENT SERVICES, LLC
January 31, 2013 - June 13, 2013
PRINCIPAL SECURITIES, INC.
January 29, 2013 - June 13, 2013
PRINCIPAL SECURITIES, INC.
December 18, 2009 - February 7, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 17, 2009 - February 7, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 10, 1995 - July 7, 1995
VOYA INVESTMENTS DISTRIBUTOR, LLC
August 21, 1990 - April 10, 1995
ASTRA FUND DISTRIBUTORS CORP.
March 20, 1990 - July 27, 1990
OSBORNE, STERN & COMPANY, INC.
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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
Current Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
