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Sean Bowen Cullinane

CRD# 3223052·Registered 1999 - 2016
Previously Registered: Being a previously registered professional could mean that Sean 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.

Professional Summary

Sean Bowen Cullinane was a registered financial advisor. Sean was a previously registered financial professional and started their career in finance 1999 - 2016. Sean had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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

25 years in the financial services industry

Current & Past Employments

RS FUNDS DISTRIBUTOR LLC·CRD# 165753
BD
San Francisco, CA
December 1, 2014 - February 26, 2016
TRANSAMERICA CAPITAL, LLC·CRD# 8217
BD
Denver, CO
March 13, 2014 - December 5, 2014
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC·CRD# 332
BD
San Mateo, CA
July 16, 2002 - September 12, 2011
HORNOR, TOWNSEND & KENT, LLC·CRD# 4031
BD
Conshohocken, PA
May 27, 1999 - December 9, 1999

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Current Firm

RF
RS FUNDS DISTRIBUTOR LLC

RS FUNDS DISTRIBUTOR LLC

CRD#: 165753 / SEC#: 8-69182
BD
Terminated by SEC on 12/23/2016

Contact Information

Established

Delaware since 09/06/2012

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
VICTORY CAPITAL MANAGEMENT INC.100% EQUITY OWNER106189
GUPTA, NINAGENERAL COUNSEL AND SECRETARY6401011
SCHARICH, PETER WAYNECHIEF FINANCIAL OFFICER/FINOP1504395
WOODARD, SUSAN LAWSONCHIEF COMPLIANCE OFFICER4225106

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 2014About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Feb 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed Dec 2004About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jul 2002About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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