Sean E. Mallon

SCHWAB WEALTH ADVISORY

Orlando, FL 32810

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CRD#: 2461172

Professional summary

Sean Edward Mallon, CFP®, who also goes by Sean Edward Mallon, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Orlando, Florida and CHARLES SCHWAB & CO., INC. located in Orlando, Florida.

Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Sean has worked at 8 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 9, Series 10, Series 4, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sean Edward Mallon

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 Edward Mallon'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®

CFP^®

Certified Financial Planner

Experience

Current

July 24, 2025 - Present

SCHWAB WEALTH ADVISORY, INC.

Office #1: 1991 Summit Park Drive, Orlando, FL 32810

RIA

CRD#: 159035

Orlando, FL

Current

July 14, 2025 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 1991 Summit Park Drive, Orlando, FL 32810

RIA

CRD#: 5393

Orlando, FL

Past

June 18, 2024 - April 1, 2025

MOOMOO FINANCIAL INC.

CRD#: 283078

JERSEY CITY, NJ

Past

September 9, 2022 - January 8, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Westlake, TX

Past

January 2, 2015 - December 31, 2020

TD AMERITRADE CLEARING, INC.

CRD#: 5633

Southlake, TX

Past

March 10, 2014 - December 20, 2023

TD AMERITRADE, INC.

CRD#: 7870

Westlake, TX

Past

April 21, 2006 - April 9, 2007

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

SALT LAKE CITY, UT

Past

August 20, 2002 - April 9, 2007

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SALT LAKE CITY, UT

Past

November 8, 2000 - May 14, 2002

E*TRADE SECURITIES LLC

CRD#: 29106

JERSEY CITY, NJ

Past

July 28, 1995 - October 2, 2000

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

May 6, 1994 - December 14, 1994

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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".

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 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
(7/14/2025)

IAR

Florida
(7/24/2025)

Texas
(7/14/2025)

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

Series 63

Date: 3/17/2014

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/10/2006

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: 3/10/2014

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 8/18/2025

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 8/18/2025

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 4

Date: 1/20/2015

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/7/2014

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 5/1/1997

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.

CRD#: 159035 / SEC#: 801-72795

RIA

Registered Investment Advisory firm - (12/9/2011 Approved)

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Contact information

Main Address

211 Main Street, San Francisco, CA 94105-1901

Mailing Address

Phone number

(415) 667-7000

Established

Firm type

Fiscal year end

# of Employees

1,042

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SCHWAB WEALTH ADVISORY, INC. DISCLOSURE BROCHURE (9/23/2025)

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 E. Mallon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Edward Mallon's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

MOOMOO FINANCIAL INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE CLEARING, INC.

TD AMERITRADE, INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

E*TRADE SECURITIES LLC

CHARLES SCHWAB & CO., INC.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

SCHWAB WEALTH ADVISORY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/17/2014

Series 66

Date: 4/10/2006

SIE

Date: 10/1/2018

Series 7

Date: 3/10/2014

Series 9

Date: 8/18/2025

Series 10

Date: 8/18/2025

Series 4

Date: 1/20/2015

Series 24

Date: 4/7/2014

Series 8

Date: 5/1/1997

FINRA

Nasdaq Stock Market

Current Firm

SCHWAB WEALTH ADVISORY, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

SCHWAB WEALTH ADVISORY, INC.

TRUST BUT VERIFY

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