Sean P. Powell
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 Patrick Powell 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 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2019 - March 3, 2020
CBIZ INVESTMENT ADVISORY SERVICES, LLC
August 23, 2019 - March 3, 2020
CBIZ FINANCIAL SOLUTIONS, INC.
January 6, 2012 - May 22, 2013
THE MUTUAL FUND STORE
December 7, 2009 - April 1, 2011
OSAIC FA, INC.
October 14, 2004 - May 11, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
May 22, 2000 - July 2, 2004
COREBRIDGE CAPITAL SERVICES, INC.
October 21, 1998 - February 18, 2000
DELAWARE DISTRIBUTORS, L.P.
Primary Firm SEC Registration
CBIZ INVESTMENT ADVISORY SERVICES, LLC
CRD#: 286002 / SEC#: 801-108996
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
CBIZ INVESTMENT ADVISORY SERVICES, LLC
CRD#: 286002 / SEC#: 801-108996
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,658 |
| AUM (Assets Under Management) | $ 10,491,932,749 |
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.
