Sean N. Havlin
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 Noel Havlin was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1995. Sean had worked at 5 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2015 - July 24, 2019
NEWPORT GROUP SECURITIES, INC.
February 1, 2013 - October 19, 2015
U.S. BANCORP ADVISORS, LLC
April 23, 2002 - October 3, 2007
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - October 3, 2007
WELLS FARGO INVESTMENTS, LLC
November 2, 1998 - May 2, 2001
WELLS FARGO SECURITIES INC.
March 9, 1995 - December 23, 1997
LTCB LATIN AMERICA, INC.
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
NEWPORT GROUP SECURITIES, INC.
CRD#: 29722 / SEC#: 801-60427, 8-44508
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWPORT GROUP HOLDINGS I, INC. | OWNER | |
| KAPLAN, ROBERT BARRY | CCO | 1286735 |
Regulatory assets under management
| Total Number of Accounts | 75 |
| AUM (Assets Under Management) | $ 22,966,874,617 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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