Sean M. Russell

KESTRA ADVISORY SERVICES

Chevy Chase, MD

Some features on this profile are disabled

CRD#: 3175179

Professional summary

Sean Michael Russell is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Chevy Chase, Maryland and GANIM PRIVATE WEALTH located in Shelton, Connecticut.

Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Sean has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Sean Michael Russell's CRS (Customer Relationship Summary).

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

March 13, 2020 - Present

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

Chevy Chase, MD

Current

April 6, 2021 - Present

GANIM PRIVATE WEALTH

Office #1: 2 Enterprise Drive Suite 305, Shelton, CT 06484

RIA

CRD#: 285679

Shelton, CT

Current

March 13, 2020 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 1303 Main Street, Port Jefferson, NY 11777

CRD#: 42046

Port Jefferson, NY

Past

April 8, 2011 - March 24, 2020

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

DrChevy Chase, MD

Past

April 8, 2011 - March 24, 2020

UBS FINANCIAL SERVICES INC.

CRD#: 8174

DrChevy Chase, MD

Past

July 1, 2003 - April 11, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

PORT JEFFERSON, NY

Past

July 1, 2003 - April 11, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

PORT JEFFERSON, NY

Past

April 20, 1999 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

PORT JEFFERSON, NY

Past

February 24, 1999 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(3/13/2020)

California
(3/13/2020)

Colorado
(3/13/2020)

Connecticut
(3/13/2020)

IAR

Connecticut
(4/27/2021)

District of Columbia
(3/13/2020)

Florida
(3/13/2020)

Georgia
(1/16/2021)

Illinois
(3/13/2020)

Maine
(3/13/2020)

Maryland
(3/13/2020)

IAR

Maryland
(5/20/2025)

Massachusetts
(3/13/2020)

Michigan
(3/13/2020)

Nebraska
(5/22/2020)

Nevada
(8/19/2021)

New Jersey
(3/13/2020)

New Mexico
(3/13/2020)

New York
(3/13/2020)

IAR

New York
(4/6/2021)

North Carolina
(3/26/2020)

Ohio
(3/13/2020)

Oregon
(5/21/2020)

Pennsylvania
(3/13/2020)

South Carolina
(3/13/2020)

Texas
(3/13/2020)

IAR

Texas
(7/16/2025)

Vermont
(8/12/2020)

Virgin Islands
(10/6/2022)

Virginia
(3/13/2020)

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

State Security Law Exam

IAR

Series 65

Date: 3/26/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/26/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/10/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (11/24/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (11/24/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (11/24/2025)

Regulatory assets under management

Total Number of Accounts	155,482
AUM (Assets Under Management)	$ 60,174,309,829

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/01/2025	Cover Page	Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Sean M. Russell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Michael Russell's CRS (Customer Relationship Summary).

Certified licenses

Experience

GANIM PRIVATE WEALTH

KESTRA INVESTMENT SERVICES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/26/1999

Series 63

Date: 2/26/1999

SIE

Date: 10/1/2018

Series 7

Date: 2/10/1999

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

Similar Advisors