Sean P. Durkin

AXIS WEALTH PARTNERS

East Providence, RI 02914

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CRD#: 4284662

Professional summary

Sean P Durkin is a registered financial advisor currently at AXIS WEALTH PARTNERS, LLC located in East Providence, Rhode Island.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Sean has worked at 3 firms and has passed the Series 66, 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. 01/2023: Axis Risk Management, LLC; not investment related; East Providence, RI; insurance; 2 hours a week, sometimes during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean P Durkin'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

January 6, 2023 - Present

AXIS WEALTH PARTNERS, LLC

Office #1: 400 Massasoit Avenue Suite 112, East Providence, RI 02914

RIA

CRD#: 167122

East Providence, RI

Past

December 8, 2000 - January 11, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Cranston, RI

Past

December 1, 2000 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

December 1, 2000 - January 11, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Cranston, RI

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".

AXIS WEALTH PARTNERS, LLC

AXIS ADVISORS, LLC | AXIS WEALTH PARTNERS, LLC

CRD#: 167122 / SEC#: 801-120324

RIA

Registered Investment Advisory firm - (2/12/2021 Approved)

Florida

Registered Investment Advisory firm - (3/3/2021 Terminated)

Massachusetts

Registered Investment Advisory firm - (3/3/2021 Terminated)

Rhode Island

Registered Investment Advisory firm - (3/3/2021 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.

Highlighted states indicate IAR registrations

IAR

Rhode Island
(1/6/2023)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/12/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/30/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/5/2006

General Securities Principal Examination

Current Firm

AXIS WEALTH PARTNERS, LLC

AXIS ADVISORS, LLC | AXIS WEALTH PARTNERS, LLC

CRD#: 167122 / SEC#: 801-120324

RIA

Registered Investment Advisory firm - (2/12/2021 Approved)

Florida

Registered Investment Advisory firm - (3/3/2021 Terminated)

Massachusetts

Registered Investment Advisory firm - (3/3/2021 Terminated)

Rhode Island

Registered Investment Advisory firm - (3/3/2021 Terminated)

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Contact information

Main Address

400 Massasoit Avenue Suite 112, East Providence, RI 02914

Mailing Address

Phone number

(401) 441-5111

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,585
AUM (Assets Under Management)	$ 289,667,386

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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Advisor Monitoring

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Sean P. Durkin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean P Durkin's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

AXIS WEALTH PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/12/2000

SIE

Date: 10/1/2018

Series 7

Date: 11/30/2000

Series 24

Date: 10/5/2006

Current Firm

AXIS WEALTH PARTNERS, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AXIS WEALTH PARTNERS, LLC

TRUST BUT VERIFY

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