Sean B. Grindall
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 Barron Grindall was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1997. Sean had worked at 8 firms and has passed the Series 66, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2024 - January 28, 2025
USAA INVESTMENT SERVICES COMPANY
November 17, 2014 - June 22, 2020
USAA FINANCIAL ADVISORS, INC.
January 17, 2013 - June 19, 2020
USAA INVESTMENT SERVICES COMPANY
January 16, 2013 - June 19, 2020
USAA INVESTMENT SERVICES COMPANY
November 13, 2009 - November 28, 2012
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - November 28, 2012
PNC WEALTH MANAGEMENT LLC
March 26, 2001 - November 13, 2009
NATCITY INVESTMENTS, INC.
March 13, 2000 - December 31, 2001
NATCITY INSURANCE SERVICES, INC.
June 23, 1999 - November 13, 2009
NATCITY INVESTMENTS, INC.
October 28, 1998 - May 20, 1999
CETERA WEALTH SERVICES, LLC
May 27, 1997 - November 9, 1998
WMA SECURITIES, INC.
May 9, 1997 - May 28, 1997
LEGACY FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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
Series 7TO
Date: 3/24/2024
General Securities Representative ExaminationCurrent Firm
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
