Sean M. Parchment

FIRST TRUST ADVISORS LP

NEPONSIT, NY 11694

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CRD#: 3237706

Professional summary

Sean Michael Parchment, who also goes by Sean M Parchment, is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Neponsit, New York and FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.

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 12 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7 and Series 25 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sean M Parchment

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.

OTHER BUSINESS NAME: AINSLIE BOWERY. LOCATION: 199 BOWERY NEW YORK, NY. NATURE OF BUSINESS: RESTURANT. POSITION OR TITLE: INVESTOR. RESPONSIBILITIES: INVESTOR. START DATE: JUNE 15, 2022. INVESTMENT-RELATED: NO. HOURS PER MONTH (TOTAL/ DURING MARKET HOURS): 0.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Michael Parchment'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

April 2, 2019 - Present

FIRST TRUST ADVISORS LP

Office #1: 314 Beach 148 St., Neponsit, NY 11694

RIA

CRD#: 107027

NEPONSIT, NY

Current

January 9, 2019 - Present

FIRST TRUST PORTFOLIOS L.P.

Office #1: 120 E. Liberty Drive Suite 400, Wheaton, IL 60187

CRD#: 28519

WHEATON, IL

Past

November 13, 2014 - February 7, 2019

PROSHARE ADVISORS LLC

RIA

CRD#: 134155

BETHESDA, MD

Past

November 7, 2014 - January 7, 2019

PROFUNDS DISTRIBUTORS, INC.

CRD#: 19541

BETHESDA, MD

Past

July 29, 2013 - January 15, 2015

STADION MONEY MANAGEMENT, LLC

RIA

CRD#: 112608

WATKINSVILLE, GA

Past

April 1, 2013 - November 5, 2014

ALPS DISTRIBUTORS, INC.

CRD#: 16853

DENVER, CO

Past

March 7, 2013 - April 1, 2013

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

OMAHA, NE

Past

May 31, 2011 - February 13, 2013

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

NEW YORK, NY

Past

October 1, 2008 - February 13, 2013

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEW YORK, NY

Past

May 21, 2008 - September 18, 2008

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

NEW YORK, NY

Past

May 7, 2002 - April 17, 2007

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

October 20, 2000 - May 7, 2002

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

September 22, 1999 - October 23, 2000

CREDIT AGRICOLE SECURITIES (USA) INC.

CRD#: 190

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".

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 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

Illinois
(1/9/2019)

IAR

Illinois
(4/2/2019)

New York
(1/9/2019)

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: 5/27/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/17/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 1/23/2007

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/25/2003

General Securities Representative Examination

General Industry/Product Exam

Series 25

Date: 2/22/2000

NYSE Trading Assistant Examination

SRO Registrations

FINRA

Current Firm

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 Approved)

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Contact information

Main Address

120 E. Liberty Drive Suite 400, Wheaton, IL 60187

Mailing Address

Phone number

(630) 765-8000

Established

Firm type

Fiscal year end

# of Employees

520

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FTA FORM ADV PART 2A BROCHURE - 03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,033
AUM (Assets Under Management)	$ 256,328,000,000

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.

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Firm Stability Insights

Sean M. Parchment

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

FIRST TRUST PORTFOLIOS L.P.

PROSHARE ADVISORS LLC

PROFUNDS DISTRIBUTORS, INC.

STADION MONEY MANAGEMENT, LLC

ALPS DISTRIBUTORS, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

UBS SECURITIES LLC

PRUDENTIAL EQUITY GROUP, LLC

CREDIT AGRICOLE SECURITIES (USA) INC.

Primary Firm SEC Registration

FIRST TRUST ADVISORS LP

State Registrations and Notice Filings

Exams

Series 65

Date: 5/27/2011

Series 63

Date: 1/17/2004

SIE

Date: 10/1/2018

Series 55

Date: 1/23/2007

Series 7

Date: 9/25/2003

Series 25

Date: 2/22/2000

FINRA

Current Firm

FIRST TRUST ADVISORS LP

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST TRUST ADVISORS LP

TRUST BUT VERIFY

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