SM
Sean A. Miot
PARK CAPITAL GROUP
Redondo Beach, CA
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CRD#: 3245288
SM
Professional summary
Sean Alexander Miot is a registered financial advisor currently at PARK CAPITAL GROUP, INC. located in Redondo Beach, California and LPL FINANCIAL LLC located in Murrieta, California.
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 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 24 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.
1) 6/2022 - DBA for LPL Business (entity for LPL business) - Park Wealth Management - Investment Related - Aliso Viejo, CA 92656 2) 6/2022 - Business Entity For Tax/Investment Purposes Only - Converge Dx, Inc. - Not Investment Related - Aliso Viejo, CA 92656 3) 6/2022 - Business Entity For Tax/Investment Purposes Only - CA CRYSTALAND AND COLLECTABLES, LLC - Not Investment Related - Aliso Viejo, CA 92656 4) 08/31/2022 - Park Capital Group, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Licensed Admin - Start Date - 06/21/2022 - 200 Hours Per Month/200 Hours During Securities Trading - I provide administrative support to Park Capital Group, Inc., an independent investment advisor firm. I started this business activity in 08/2022. I expect to spend approximately 200 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5.) Liquid Lung Dx - Start Date: 12/2018, Board Member; 4695 MacArthur Court, Suite 1100, Newport Beach, CA 92660 - Not Investment Related - Duties: Attend quarterly board of director meetings via Zoom, discuss corporate strategy with other board members, monitor developments from other liquid biopsy companies - Hours/Month During Non-Trading Hours: 2 hours per month; Hours/Month During Trading Hours: None
CRS (Client Relationship Summary) - RIA
Click below to view Sean Alexander Miot's 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®
NoneExperience
Current
December 22, 2022 - Present
PARK CAPITAL GROUP, INC.
RIA
CRD#: 165884
Redondo Beach, CA
Current
September 9, 2022 - Present
LPL FINANCIAL LLC
RIA
BD
CRD#: 6413
MURRIETA, CA
Past
January 29, 2016 - April 12, 2018
COWEN PRIME SERVICES LLC
BD
CRD#: 153397
SAN FRANCISCO, CA
Past
August 13, 1999 - June 15, 2016
COWEN PRIME SERVICES TRADING LLC
BD
CRD#: 23857
SAN FRANCISCO, CA
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.RR
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
RR
California(10/18/2022)
IAR
California(12/22/2022)
IAR
Texas(1/6/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/9/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PC
PARK CAPITAL GROUP, INC.
PARK CAPITAL GROUP, INC. | PARK WEALTH MANAGEMENT
CRD#: 165884 / SEC#:
California
Registered Investment Advisory firm - (1/14/2013 Approved)Louisiana
Registered Investment Advisory firm - (11/6/2015 Terminated)Texas
Registered Investment Advisory firm - (1/3/2013 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Redondo Beach, CA
Mailing Address
Phone number
(714) 624-3802
Established
Firm type
Fiscal year end
# of Employees
3
Regulatory assets under management
| Total Number of Accounts | 247 |
| AUM (Assets Under Management) | $ 71,651,000 |
Red Flags
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