Sean A. Soulvie

RS ASSET MANAGEMENT

COLORADO SPRINGS, CO 80906

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CRD#: 4080724

Professional summary

Sean Allen Soulvie is a registered financial advisor currently at RS ASSET MANAGEMENT, LLC located in Colorado Springs, Colorado and LPL FINANCIAL LLC located in Colorado Springs, Colorado.

Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Sean has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 31, 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) 06/21/2011: RS ASSET MANAGEMENT, LLC - INV REL - AT REPORTED BUSINESS LOCATION(S) - REGISTERED INVESTMENT ADVISOR - RS ASSET MANAGEMENT - 100% OF TIME SPENT - (HYBRID) PROVIDE ASSET MANAGEMENT AND FINANCIAL PLANNING FOR A FEE (2) 08/21/2013: RS ASSET MANAGEMENT - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSINESS LOCATION(S) (3) 03/12/2015: ARAT - INV REL - AT REPORTED BUSINESS LOCATION(S) - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - START 05/26/2011 - 160 HR/MO 8 DURING SECS TRDG HRS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Allen Soulvie'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

May 26, 2011 - Present

RS ASSET MANAGEMENT, LLC

Office #1: 660 Southpointe Court Suite 312, Colorado Springs, CO 80906

RIA

CRD#: 157768

COLORADO SPRINGS, CO

Current

May 26, 2011 - Present

LPL FINANCIAL LLC

Office #1: 660 Southpointe Ct Ste 312, Colorado Springs, CO 80906

RIA

CRD#: 6413

Colorado Springs, CO

Past

July 24, 2017 - August 4, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

MONUMENT, CO

Past

June 1, 2009 - June 3, 2011

MORGAN STANLEY

RIA

CRD#: 149777

COLORADO SPRINGS, CO

Past

June 1, 2009 - June 3, 2011

MORGAN STANLEY

CRD#: 149777

COLORADO SPRINGS, CO

Past

February 15, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

COLORADO SPRINGS, CO

Past

February 15, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

COLORADO SPRINGS, CO

Past

February 28, 2000 - February 22, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

COLORADO SPRINGS, CO

Past

January 31, 2000 - February 22, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

COLORADO SPRINGS, CO

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".

RS ASSET MANAGEMENT, LLC

CRD#: 157768 / SEC#: 801-79114

RIA

Registered Investment Advisory firm - (1/29/2014 Approved)

Colorado

Registered Investment Advisory firm - (3/7/2014 Terminated)

Kansas

Registered Investment Advisory firm - (2/5/2014 Terminated)

Louisiana

Registered Investment Advisory firm - (2/11/2014 Terminated)

Texas

Registered Investment Advisory firm - (2/5/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Alabama
(6/21/2011)

Arizona
(5/26/2011)

California
(5/26/2011)

Colorado
(5/26/2011)

IAR

Colorado
(5/26/2011)

Florida
(5/26/2011)

Georgia
(5/26/2011)

Idaho
(12/13/2024)

Indiana
(9/12/2022)

Iowa
(6/24/2021)

Kansas
(5/26/2011)

Kentucky
(6/21/2024)

Louisiana
(2/3/2012)

Maryland
(8/28/2013)

Massachusetts
(6/21/2011)

Missouri
(10/25/2011)

Nebraska
(11/20/2018)

Nevada
(5/26/2011)

New Mexico
(5/26/2011)

Ohio
(1/17/2014)

Oregon
(1/4/2017)

Pennsylvania
(12/11/2015)

South Carolina
(10/17/2013)

Tennessee
(3/30/2023)

Texas
(5/26/2011)

IAR

Texas
(4/10/2012)

Utah
(6/28/2013)

Virginia
(6/6/2013)

Washington
(8/10/2011)

Wisconsin
(8/4/2017)

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 66

Date: 4/14/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/25/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/14/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/28/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/22/2011

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

RS ASSET MANAGEMENT, LLC

CRD#: 157768 / SEC#: 801-79114

RIA

Registered Investment Advisory firm - (1/29/2014 Approved)

Colorado

Registered Investment Advisory firm - (3/7/2014 Terminated)

Kansas

Registered Investment Advisory firm - (2/5/2014 Terminated)

Louisiana

Registered Investment Advisory firm - (2/11/2014 Terminated)

Texas

Registered Investment Advisory firm - (2/5/2014 Terminated)

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Contact information

Main Address

660 Southpointe Court Suite 312, Colorado Springs, CO 80906

Mailing Address

Phone number

(719) 219-8444

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RSAM - ADV PART 2A APPENDIX: WRAP BROCHURE (1/23/2025)

RSAM - ADV PART 2A: FIRM BROCHURE (1/23/2025)

Regulatory assets under management

Total Number of Accounts	671
AUM (Assets Under Management)	$ 150,188,314

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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COMMONWEALTH FINANCIAL NETWORK

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Advisor Monitoring

Firm Stability Insights

Sean A. Soulvie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Allen Soulvie's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

RS ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/14/2000

Series 63

Date: 2/25/2000

SIE

Date: 10/1/2018

Series 31

Date: 4/14/2006

Series 7

Date: 1/28/2000

Series 24

Date: 7/22/2011

FINRA

Current Firm

RS ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RS ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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