Sean K. Marquardt
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 K Marquardt, who also goes by Kimberlee Shawn Marquardt, Kim Marquardt, Kimberlee Marquardt, Sean Kenneth Marquardt, Sean Marquardt, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1998. Sean had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2021 - October 27, 2021
NEWPORT GROUP SECURITIES, INC.
April 23, 2020 - October 9, 2021
TD AMERITRADE, INC.
January 27, 2020 - February 22, 2020
TD AMERITRADE, INC.
December 21, 2017 - April 23, 2019
TRANSAMERICA RETIREMENT ADVISORS, LLC
November 21, 2017 - April 23, 2019
TRANSAMERICA INVESTORS SECURITIES, LLC
October 2, 2006 - April 3, 2017
EMPOWER FINANCIAL SERVICES, INC.
May 18, 1998 - October 3, 2006
METROPOLITAN LIFE INSURANCE COMPANY
May 18, 1998 - October 3, 2006
MSI FINANCIAL SERVICES, INC.
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
Current Firm
NEWPORT GROUP SECURITIES, INC.
CRD#: 29722 / SEC#: 801-60427, 8-44508
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWPORT GROUP HOLDINGS I, INC. | OWNER | |
| KAPLAN, ROBERT BARRY | CCO | 1286735 |
Regulatory assets under management
| Total Number of Accounts | 75 |
| AUM (Assets Under Management) | $ 22,966,874,617 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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