Sean J. Figueroa
Professional summary
Sean Jason Figueroa, CFP® is a registered financial advisor currently at EVERGREEN CAPITAL MANAGEMENT LLC located in San Francisco, California.
Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Sean has worked at 3 firms and has passed the Series 63, Series 65, Series 7 and Series 2 exams.
At a Glance
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Sean Jason Figueroa's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 13, 2017 - Present
EVERGREEN CAPITAL MANAGEMENT LLC
Office #1: 50 California Street, San Francisco, CA 94111December 22, 2000 - July 2, 2004
CIBC PRIVATE WEALTH ADVISORS, INC.
October 13, 1999 - December 31, 2000
BOFA DISTRIBUTORS, INC.
Primary Firm SEC Registration
EVERGREEN CAPITAL MANAGEMENT LLC
CRD#: 104931 / SEC#: 801-20248
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(4/13/2017)
(4/13/2017)
Exams
Series 2
Date: 10/25/1994
Non-Member General Securities ExaminationCurrent Firm
EVERGREEN CAPITAL MANAGEMENT LLC
CRD#: 104931 / SEC#: 801-20248
Contact information
SEC notice filing (42 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,147 |
| AUM (Assets Under Management) | $ 5,217,923,207 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/28/2024 | ||
| 12/21/2023 |
Red Flags
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