Sean A. Fletcher

PROSPETTIVA FINANCIAL

San Francisco, CA 94111

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CRD#: 2705795

Professional summary

Sean A Fletcher, AIF®, CFP® is a registered financial advisor currently at PROSPETTIVA FINANCIAL located in San Francisco, California.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Sean has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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.

1) SEAN FLETCHER AND ISABEL REICHERT - OWNER / ARTIST - PRODUCTION AND EXHIBITION OF FINE ART AND PERFORMING ART -SINCE 5/2010 - OAKLAND, CA - NOT INVESTMENT RELATED 2) CA LIFE, VARIABLE CONTRACTS, & ACCIDENT & HEALTH RESIDENT INSURANCE PRODUCER; INSURANCE AGENT/BROKER/; NOT INVESTMENT-RELATED; START DATE: 09/2015. 3) HONIG VINEYARD & WINERY; NOT INVESTMENT-RELATED; 850 RUTHERFORD ROAD, RUTHERFORD, CA 94573; MEMBER OF THE ADVISORY BOARD; ATTEND MEETING TO DISCUSS FINANCIAL REPORTING; START DATE: 02/09/2020; LESS THAN 1 HOUR DEVOTED TO THIS BUSINESS PER MONTH; NO TIME DEVOTED DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean A Fletcher'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2016

Experience

Current

January 6, 2009 - Present

PROSPETTIVA FINANCIAL

Office #1: 22 Battery Street Suite 426, San Francisco, CA 94111

RIA

CRD#: 148760

San Francisco, CA

Past

January 10, 2011 - October 23, 2015

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

SAN FRANCISCO, CA

Past

August 18, 2003 - January 12, 2011

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

SAN FRANCISCO, CA

Past

May 2, 2002 - January 12, 2011

FSC SECURITIES CORPORATION

CRD#: 7461

SAN FRANCISCO, CA

Past

August 29, 2000 - January 22, 2002

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

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".

PROSPETTIVA FINANCIAL

PROSPETTIVA FINANCIAL | RHODES & FLETCHER, LLC | PROSPETTIVA FINANCIAL, LLC | PROSPETTIVA FINANCIAL LLC

CRD#: 148760 / SEC#: 801-123729

RIA

Registered Investment Advisory firm - (4/18/2022 Approved)

California

Registered Investment Advisory firm - (5/22/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/22/2022 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
(1/6/2009)

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: 3/13/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/30/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/23/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/27/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/28/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/18/2009

General Securities Principal Examination

Current Firm

PROSPETTIVA FINANCIAL

PROSPETTIVA FINANCIAL | RHODES & FLETCHER, LLC | PROSPETTIVA FINANCIAL, LLC | PROSPETTIVA FINANCIAL LLC

CRD#: 148760 / SEC#: 801-123729

RIA

Registered Investment Advisory firm - (4/18/2022 Approved)

California

Registered Investment Advisory firm - (5/22/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/22/2022 Terminated)

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Contact information

Main Address

22 Battery Street Suite 426, San Francisco, CA 94111

Mailing Address

Phone number

(415) 362-8636

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROSPETTIVA FINANCIAL LLC - FORM ADV PART 2A (2/10/2025)

Regulatory assets under management

Total Number of Accounts	292
AUM (Assets Under Management)	$ 115,975,033

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 A. Fletcher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean A Fletcher's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

PROSPETTIVA FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 3/13/2003

Series 63

Date: 11/30/2001

SIE

Date: 10/23/2015

Series 7

Date: 2/27/2003

Series 6

Date: 8/28/2000

Series 24

Date: 5/18/2009

Current Firm

PROSPETTIVA FINANCIAL

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPETTIVA FINANCIAL

TRUST BUT VERIFY

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