SG
Sean M. Giles
STRATEGICPOINT INVESTMENT ADVISORS LLC
Providence, RI 02903-1004
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CRD#: 2425743
SG
Professional summary
Sean Michael Giles is a registered financial advisor currently at STRATEGICPOINT INVESTMENT ADVISORS LLC located in Providence, Rhode Island.
Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Sean has worked at 2 firms and has passed the Series 65 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.
Sean Giles, Senior Financial Advisor, serves as trustee for a private 2003 irrevocable trust. The official work started on or about June, 2013. Sean performs trustee duties such as signing and sending Crummy letters, reviewing and signing tax returns, and meeting with a RIA once a year. It is estimated that Sean will spend approximately 5 hours per year on this business, with some of the work completed during securities trading hours. Sean Giles, Senior Financial Advisor, has been a licensed insurance agent in an investment-related business located in Providence, RI, since February 2006. He sells annuities, life insurance, and various other insurance products and spends approximately 0-5 hours per month on this business.
CRS (Client Relationship Summary) - RIA
Click below to view Sean Michael Giles'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®
NoneExperience
Current
February 23, 2006 - Present
STRATEGICPOINT INVESTMENT ADVISORS LLC
Office #1: 294 West Exchange Street, Providence, RI 02903-1004Office #2: 294 West Exchange Street, Providence, RI 02903RIA
CRD#: 124636
Providence, RI
Past
June 9, 1997 - November 20, 1997
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
Past
December 21, 1993 - December 31, 1996
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
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".
SI
STRATEGICPOINT INVESTMENT ADVISORS LLC
STRATEGIC POINT INVESTMENT ADVISORS LLC | STRATEGICPOINT INVESTMENT ADVISORS LLC
CRD#: 124636 / SEC#: 801-61711
RIA
Registered Investment Advisory firm - (12/31/2002 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.Highlighted states indicate IAR registrations
IAR
Rhode Island(2/23/2006)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
SI
STRATEGICPOINT INVESTMENT ADVISORS LLC
STRATEGIC POINT INVESTMENT ADVISORS LLC | STRATEGICPOINT INVESTMENT ADVISORS LLC
CRD#: 124636 / SEC#: 801-61711
RIA
Registered Investment Advisory firm - (12/31/2002 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
294 West Exchange Street, Providence, RI 02903-1004
Mailing Address
Phone number
(401) 273-1500
Established
Firm type
Fiscal year end
# of Employees
12
SEC notice filing (12 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,963 |
| AUM (Assets Under Management) | $ 806,366,242 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/26/2024 | ||
| 10/25/2023 | ||
| 11/21/2022 |
Red Flags
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Company Information
STRATEGICPOINT INVESTMENT ADVISORS LLC
CRD#: 124636Providence, RI 02903-1004TRUST BUT VERIFY
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