Sean A. Lehmann

THE SULLIVAN GROUP

MENIFEE, CA

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CRD#: 2407155

Professional summary

Sean Anthony Lehmann, AIF® is a registered financial advisor currently at THE SULLIVAN GROUP located in Menifee, California.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Sean has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 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.

1) Capital Investment Management, LLC - Insurance. Not Investment Related. At registered location. Insurance. Principal. 12/2017. 5-10 Hrs/Mo; All During Trading Hours. Selling Various Insurance Products including Fixed, Structured Products, health insurance, etc. 2) Fixed Insurance (Producers Choice Network). Not Investment Related. At registered location. Insurance Sales. Advisor. 11/2019. 10 Hrs/Mo; All During Trading Hours. Insurance Sales. 3) Professional Pilot Services, LLC. Not Investment Related. Home Based. Pilot Services. Pilot. Start 2/8/2023. 15 hours per week during non-trading hours. Providing professional pilot services on an ad-hoc occasional basis. 4) Rental Properties. Not Investment Related. At Registered Branch office location; Rental Properties. Owner. 4/1/2024. 4 hrs/month with 0 during trading hrs. Manage passive real estate properties.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Anthony Lehmann'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

September 2, 2009 - Present

THE SULLIVAN GROUP

RIA

CRD#: 150705

MENIFEE, CA

Past

September 1, 2009 - October 10, 2025

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Laguna Niguel, CA

Past

June 1, 2009 - September 14, 2009

MORGAN STANLEY

RIA

CRD#: 149777

ROSEVILLE, CA

Past

June 1, 2009 - September 14, 2009

MORGAN STANLEY

CRD#: 149777

ROSEVILLE, CA

Past

December 17, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

ROSEVILLE, CA

Past

December 17, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

ROSEVILLE, CA

Past

January 14, 2002 - December 19, 2007

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ROSEVILLE, CA

Past

December 14, 2001 - December 19, 2007

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ROSEVILLE, CA

Past

May 2, 2001 - December 13, 2001

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

October 29, 1999 - May 2, 2001

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

October 18, 1994 - November 5, 1999

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

November 3, 1993 - October 21, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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
(9/2/2009)

IAR

Texas
(4/3/2017)

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: 11/24/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/12/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/2/1993

General Securities Representative Examination

Current Firm

THE SULLIVAN GROUP

CAPITAL INVESTMENT MANAGEMENT GROUP, INC. | THE SULLIVAN GROUP | CAPITAL INVESTMENT MANAGEMENT, LLC

CRD#: 150705 / SEC#: 801-70367

RIA

Registered Investment Advisory firm - (2/11/2015 Terminated)

California

Registered Investment Advisory firm - (4/16/2014 Approved)

Texas

Registered Investment Advisory firm - (4/3/2017 Conditional Restricted)

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

564 North Sunrise Avenue, Roseville, CA 95661

Mailing Address

Phone number

(916) 797-8500

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	102
AUM (Assets Under Management)	$ 86,405,053

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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Firm Stability Insights

Sean A. Lehmann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Anthony Lehmann's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO SECURITIES INC.

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/24/1993

Series 63

Date: 11/12/1993

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/2/1993

Current Firm

THE SULLIVAN GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THE SULLIVAN GROUP

TRUST BUT VERIFY

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