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SF

Sean F. Fagan

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CRD#: 4296318
SF

Professional summary

Being a previously registered professional could mean that this person 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.

Sean F Fagan, who also goes by Sean Francis Fagan, was a registered financial professional .

Sean is a previously registered financial professional and started their career in finance in 2001. Sean had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sean Francis Fagan

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.

Blog Corner

CRS (Client Relationship Summary)

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

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

Past

March 5, 2019 - November 6, 2019

TD AMERITRADE, INC.

BD
CRD#: 7870
CANTON, OH
Past

March 4, 2019 - November 6, 2019

TD AMERITRADE, INC.

RIA
CRD#: 7870
CANTON, OH
Past

March 4, 2019 - November 6, 2019

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
Canton, OH
Past

May 25, 2016 - April 27, 2018

HORNOR, TOWNSEND & KENT, LLC

RIA
CRD#: 4031
AKRON, OH
Past

April 25, 2016 - April 27, 2018

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
AKRON, OH
Past

March 30, 2010 - March 21, 2016

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
AKRON, OH
Past

March 29, 2010 - March 21, 2016

FIFTH THIRD SECURITIES, INC.

RIA
CRD#: 628
AKRON, OH
Past

October 21, 2008 - January 15, 2010

NATIONWIDE SECURITIES, LLC

RIA
CRD#: 11173
NORTH CANTON, OH
Past

August 1, 2008 - January 15, 2010

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
NORTH CANTON, OH
Past

May 23, 2007 - August 1, 2008

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082
NORTH CANTON, OH
Past

December 4, 2003 - May 24, 2007

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
AKRON, OH
Past

July 9, 2001 - July 1, 2003

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
CONSHOHOCKEN, PA
Past

May 29, 2001 - July 17, 2001

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
LINCOLN, NE

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 11/16/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/16/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/27/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/9/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/25/2001
Investment Company Products/Variable Contracts Representative Examination

Current Firm

TD AMERITRADE, INC.
TD AMERITRADE, INC.
TD AMERITRADE, INC. | WATERHOUSE SECURITIES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC.

CRD#: 7870 / SEC#: 801-60469, 8-23395

BD
Terminated by SEC on 09/17/2024
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Contact information

Main Address
200 South 108th Avenue, Omaha, NE 68154
Mailing Address
Phone number
(800) 669-3900
Established
New York since 09/29/1978
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
5,840

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
TD AMERITRADE ONLINE HOLDINGS LLC.OWNER
KONOP, LYNN MARIECHIEF COMPLIANCE OFFICER - BD1216310
KOSTULIAS, JAMES ROBERTPRESIDENT3091009
STARR, JEFFREY HAROLDMANAGING DIRECTOR, OPERATIONS4700461
THOMPSON, AARON MARKCHIEF FINANCIAL OFFICER/FINOP6483170

Disclosures

Regulatory Event79
Civil Event1
Arbitration145

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.

Company Information

TD AMERITRADE, INC.

TD AMERITRADE, INC.

CRD#: 7870

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