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SD

Sean P. Devlin

EXECUTIVE SERVICES SECURITIES
Atlanta, GA 30326-1156
Some features on this profile are disabled
CRD#: 2782108
SD

Professional summary

Sean Patrick Devlin is a registered financial professional currently at EXECUTIVE SERVICES SECURITIES, LLC located in Atlanta, Georgia.

Sean is registered as a RR (Registered Representative) and started their career in finance in 1996. Sean has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Sean Patrick Devlin's 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 18, 2024 - Present

EXECUTIVE SERVICES SECURITIES, LLC

Office #1: 3445 Peachtree Road Ne Suite 200, Atlanta, GA 30326-1156
RIA
BD
CRD#: 25299
Atlanta, GA
Past

July 17, 2023 - November 6, 2024

ASCENSUS BROKER DEALER SERVICES, LLC

BD
CRD#: 36478
NEWTON, MA
Past

August 9, 2010 - September 6, 2023

NEWPORT GROUP SECURITIES, INC.

BD
CRD#: 29722
Lake Mary, FL
Past

June 30, 2004 - July 22, 2010

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
ALLENTOWN, PA
Past

February 12, 2003 - June 9, 2004

WESTPORT FINANCIAL SERVICES, L.L.C.

BD
CRD#: 38449
JACKSONVILLE, FL
Past

August 19, 1998 - November 20, 2002

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
HARTFORD, CT
Past

August 12, 1996 - June 17, 1998

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(11/18/2024)
RR
Arizona
(11/18/2024)
RR
California
(11/18/2024)
RR
Colorado
(11/18/2024)
RR
Connecticut
(11/18/2024)
RR
Delaware
(11/18/2024)
RR
Florida
(11/18/2024)
RR
Georgia
(11/18/2024)
RR
Hawaii
(11/18/2024)
RR
Illinois
(11/18/2024)
RR
Indiana
(11/18/2024)
RR
Iowa
(11/18/2024)
RR
Kansas
(11/18/2024)
RR
Maine
(11/18/2024)
RR
Maryland
(11/18/2024)
RR
Massachusetts
(11/18/2024)
RR
Michigan
(11/18/2024)
RR
Minnesota
(11/18/2024)
RR
New Jersey
(11/18/2024)
RR
New Mexico
(11/18/2024)
RR
New York
(11/18/2024)
RR
North Carolina
(11/18/2024)
RR
Ohio
(11/18/2024)
RR
Oklahoma
(11/18/2024)
RR
Pennsylvania
(11/18/2024)
RR
Rhode Island
(11/18/2024)
RR
South Carolina
(11/18/2024)
RR
Tennessee
(11/18/2024)
RR
Texas
(11/18/2024)
RR
Utah
(11/18/2024)
RR
Vermont
(11/18/2024)
RR
Virginia
(11/18/2024)
RR
Washington
(11/18/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/21/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/9/1996
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ES
EXECUTIVE SERVICES SECURITIES, LLC
EXECUTIVE SERVICES SECURITIES, INC. | ONE SECURITIES CORPORATION | ONE SECURITIES CORP. | EXECUTIVE SERVICES SECURITIES, LLC

CRD#: 25299 / SEC#: , 8-41649

Georgia
Registered Investment Advisory firm - SEC (7/5/1996 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
3445 Peachtree Road Ne Suite 200, Atlanta, GA 30326-1156
Mailing Address
3445 Peachtree Road Ne Suite 200, Atlanta, GA 30326-1156
Phone number
(404) 504-3800
Established
Georgia since 12/23/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
17

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
NFP CORP.SOLE MEMBER
FELTS, KENNETH LEECFO
KROELL, EDWARD HAROLDCHIEF COMPLIANCE OFFICER2615310
MOO, VERONICA EI CHUNDIRECTOR5867442
O'MALLEY, EDWARD GEORGEDIRECTOR5902666
SCHNEIDER, BRETT RONALDDIRECTOR5636953

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.

Company Information

EXECUTIVE SERVICES SECURITIES, LLC

CRD#: 25299Atlanta, GA 30326-1156

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