Sean S. Sowers

VAN HULZEN FINANCIAL ADVISORS

El Dorado Hills, CA 95762

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CRD#: 2615843

Professional summary

Sean Stephen Sowers is a registered financial advisor currently at VAN HULZEN FINANCIAL ADVISORS located in El Dorado Hills, California.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Sean has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4 and Series 24 exams.

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 Stephen Sowers'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 8, 2017 - Present

VAN HULZEN FINANCIAL ADVISORS

Office #1: 4370 Town Center Blvd. Suite 220, El Dorado Hills, CA 95762

RIA

CRD#: 116632

El Dorado Hills, CA

Past

May 16, 2016 - August 7, 2017

LPL FINANCIAL LLC

CRD#: 6413

EL DORADO HILLS, CA

Past

September 23, 2014 - July 28, 2017

ALADINO FINANCIAL SERVICES, INC.

RIA

CRD#: 135881

EL DORADO HILLS, CA

Past

September 15, 2014 - May 16, 2016

PROTECTED INVESTORS OF AMERICA

CRD#: 6082

El Dorado Hills, CA

Past

October 23, 2013 - September 12, 2014

FINANCIAL TELESIS INC

RIA

CRD#: 31012

SAN RAMON, CA

Past

January 2, 2009 - September 12, 2014

FINANCIAL TELESIS INC

CRD#: 31012

SAN RAMON, CA

Past

April 27, 2004 - April 30, 2004

FOOTHILL SECURITIES, INC.

RIA

CRD#: 1027

EL DORADO HILLS, CA

Past

April 27, 2004 - December 31, 2008

FOOTHILL SECURITIES, INC.

CRD#: 1027

EL DORADO HILLS, CA

Past

February 3, 2003 - February 5, 2004

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

March 27, 2001 - February 14, 2003

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

June 17, 1998 - November 6, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

June 15, 1995 - June 25, 1998

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

LOS ANGELES, CA

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".

VAN HULZEN FINANCIAL ADVISORS

CRD#: 116632 / SEC#: 801-61884

RIA

Registered Investment Advisory firm - (3/14/2003 Approved)

California

Registered Investment Advisory firm - (5/8/2003 Terminated)

Colorado

Registered Investment Advisory firm - (12/31/2002 Terminated)

Texas

Registered Investment Advisory firm - (6/19/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(11/8/2017)

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 66

Date: 10/9/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/15/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/7/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/14/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 4/7/1997

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/29/1996

General Securities Principal Examination

Current Firm

VAN HULZEN FINANCIAL ADVISORS

CRD#: 116632 / SEC#: 801-61884

RIA

Registered Investment Advisory firm - (3/14/2003 Approved)

California

Registered Investment Advisory firm - (5/8/2003 Terminated)

Colorado

Registered Investment Advisory firm - (12/31/2002 Terminated)

Texas

Registered Investment Advisory firm - (6/19/2003 Terminated)

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Contact information

Main Address

4370 Town Center Blvd. Suite 220, El Dorado Hills, CA 95762

Mailing Address

Phone number

(916) 608-4284

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VAN HULZEN ADV PART 2A (5/20/2025)

Regulatory assets under management

Total Number of Accounts	2,701
AUM (Assets Under Management)	$ 1,859,922,004

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 S. Sowers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Stephen Sowers's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

ALADINO FINANCIAL SERVICES, INC.

PROTECTED INVESTORS OF AMERICA

FINANCIAL TELESIS INC

FINANCIAL TELESIS INC

FOOTHILL SECURITIES, INC.

FOOTHILL SECURITIES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

INTERFIRST CAPITAL CORPORATION

Primary Firm SEC Registration

VAN HULZEN FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 10/9/2013

Series 63

Date: 6/15/1995

SIE

Date: 8/7/2017

Series 7

Date: 6/14/1995

Series 4

Date: 4/7/1997

Series 24

Date: 4/29/1996

Current Firm

VAN HULZEN FINANCIAL ADVISORS

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VAN HULZEN FINANCIAL ADVISORS

TRUST BUT VERIFY

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