Sean A. Mcleod

DANA INVESTMENT ADVISORS

Waukesha, WI 53186-0904

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CRD#: 2523250

Professional summary

Sean Andrew Mcleod is a registered financial advisor currently at DANA INVESTMENT ADVISORS INC located in Waukesha, Wisconsin.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Sean has worked at 2 firms and has passed the Series 65 exam.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Andrew Mcleod'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®

None

Experience

Current

November 30, 2021 - Present

DANA INVESTMENT ADVISORS INC

Office #1: 20700 Swenson Drive, Suite 400, Waukesha, WI 53186-0904

RIA

CRD#: 105879

Waukesha, WI

Past

September 16, 1998 - April 27, 2004

M&I INVESTMENT MANAGEMENT CORP.

RIA

CRD#: 109802

MILWAUKEE, WI

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".

DANA INVESTMENT ADVISORS INC

CRD#: 105879 / SEC#: 801-14828

RIA

Registered Investment Advisory firm - (9/21/1979 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

Wisconsin
(11/30/2021)

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: 7/29/1998

Uniform Investment Adviser Law Examination

Current Firm

DANA INVESTMENT ADVISORS INC

CRD#: 105879 / SEC#: 801-14828

RIA

Registered Investment Advisory firm - (9/21/1979 Approved)

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Contact information

Main Address

20700 Swenson Drive, Suite 400, Waukesha, WI 53186-0904

Mailing Address

P.o. Box 1067, Brookfield, WI 53008-1067

Phone number

(262) 782-3631

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	3,699
AUM (Assets Under Management)	$ 5,757,433,150

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Sean A. Mcleod

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Andrew Mcleod's CRS (Customer Relationship Summary).

Certified licenses

Experience

DANA INVESTMENT ADVISORS INC

M&I INVESTMENT MANAGEMENT CORP.

Primary Firm SEC Registration

DANA INVESTMENT ADVISORS INC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/29/1998

Current Firm

DANA INVESTMENT ADVISORS INC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DANA INVESTMENT ADVISORS INC

TRUST BUT VERIFY

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