Sean C. Markham

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CRD#: 2740468

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 Clay Markham, CFP® was a registered financial professional .

Sean is a previously registered financial professional and started their career in finance in 1997. Sean had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2005

Experience

Past

June 21, 2023 - June 21, 2023

PROCYON

RIA

CRD#: 288239

SHELTON, CT

Past

April 16, 2021 - May 2, 2023

ESSEX FINANCIAL SERVICES, INC.

RIA

CRD#: 127549

Southport, CT

Past

April 16, 2021 - June 1, 2021

ESSEX FINANCIAL SERVICES, INC.

CRD#: 127549

SOUTHPORT, CT

Past

January 4, 2021 - April 19, 2021

NCM CAPITAL MANAGEMENT, LLC

RIA

CRD#: 151109

RAMSEY, NJ

Past

May 27, 2008 - January 26, 2021

KBD SECURITIES, LLC

CRD#: 104110

NEW YOYK, NY

Past

October 28, 2004 - July 27, 2006

FIDELITY PERSONAL TRUST COMPANY, FSB

RIA

CRD#: 109516

STAMFORD, CT

Past

January 22, 1999 - October 30, 2008

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

STAMFORD, CT

Past

November 2, 1998 - January 17, 2008

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

DURHAM, NC

Past

February 15, 1998 - October 27, 1998

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

February 13, 1997 - October 27, 1998

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".

PROCYON

CRD#: 288239 / SEC#: 801-110493

RIA

Registered Investment Advisory firm - (5/26/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 1/11/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/3/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/4/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/12/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/3/2003

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/21/2001

General Securities Sales Supervisor - Options Module Examination

Current Firm

PROCYON

CRD#: 288239 / SEC#: 801-110493

RIA

Registered Investment Advisory firm - (5/26/2017 Approved)

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Contact information

Main Address

1 Corporate Drive Suite 225, Shelton, CT 06484

Mailing Address

Phone number

(475) 232-2704

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROCYON DISCLOSURE BROCHURE (11/4/2025)

Regulatory assets under management

Total Number of Accounts	5,638
AUM (Assets Under Management)	$ 7,769,672,465

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 C. Markham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ESSEX FINANCIAL SERVICES, INC.

ESSEX FINANCIAL SERVICES, INC.

NCM CAPITAL MANAGEMENT, LLC

KBD SECURITIES, LLC

FIDELITY PERSONAL TRUST COMPANY, FSB

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

PROCYON

State Registrations and Notice Filings

Exams

Series 65

Date: 1/11/1999

Series 63

Date: 3/3/1998

SIE

Date: 10/1/2018

Series 7

Date: 8/4/1998

Series 6

Date: 2/12/1997

Series 10

Date: 3/3/2003

Series 9

Date: 9/21/2001

Current Firm

PROCYON

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROCYON

TRUST BUT VERIFY

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