Sean J Smith
Professional Summary
Sean J Smith, who also goes by Sean Joseph Smith, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Orlando, Florida and CHARLES SCHWAB & CO., INC. located in Orlando, Florida. Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Sean has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Sean Joseph Smith
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
MONEY CONCEPTS CAPITAL CORP
MACQUARIE CAPITAL (USA) INC.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
26 years registered in the securities industry
Current & Past Employments
Current
Past
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MONEY CONCEPTS CAPITAL CORP
MACQUARIE CAPITAL (USA) INC.
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Current Firm
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.
Contact Information
Main Address
425 Market Street 17th Floor, San Francisco, CA 94105Phone Number
(415) 667-7000# of Employees
1,457SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Part 2 Brochures
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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MONEY CONCEPTS CAPITAL CORP
MACQUARIE CAPITAL (USA) INC.
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Primary Firm SEC Registration
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.
State Registrations and Notice Filings
(7/31/2009)
(9/30/2004)
(5/1/2006)
(9/30/2004)
(2/17/2012)
(10/1/2004)
(5/6/2011)
(2/8/2024)
(1/8/2013)
(10/1/2004)
(10/1/2004)
(10/1/2004)
(9/17/2014)
(2/7/2024)
(5/4/2021)
(10/1/2004)
(10/1/2004)
(10/1/2004)
(10/1/2004)
(10/4/2004)
(2/28/2008)
(4/7/2015)
(10/1/2004)
(10/1/2004)
(8/29/2007)
(9/16/2016)
(1/2/2020)
(3/16/2006)
(10/1/2004)
(5/1/2006)
(2/8/2024)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Aug 2004About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jun 2004About the Series 9 examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Sean J Smith's CRS (Customer Relationship Summary).
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