Sean F. Curley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sean Francis Curley was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1994. Sean had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2017 - April 20, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
August 16, 2017 - April 20, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
January 14, 2014 - March 10, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 14, 2014 - March 10, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 10, 2011 - March 29, 2012
ASSETMARK, INC.
May 6, 2011 - March 29, 2012
CAPITAL BROKERAGE CORPORATION
October 1, 2007 - May 18, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
March 18, 2005 - May 2, 2007
PARTNERVEST ADVISORY SERVICES LLC
March 18, 2005 - May 2, 2007
PARTNERVEST SECURITIES, INC.
March 26, 2002 - March 23, 2005
EQUITABLE ADVISORS, LLC
December 10, 2001 - March 23, 2005
EQUITABLE ADVISORS, LLC
May 22, 2000 - October 4, 2001
IMPERIAL CAPITAL, LLC
June 21, 1996 - June 19, 1998
NOMURA SECURITIES INTERNATIONAL, INC.
November 16, 1995 - June 5, 1996
BNP PARIBAS SECURITIES CORP.
November 8, 1994 - October 2, 1995
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
