SD
Sean M. Dranfield
PT ASSET MANAGEMENT
Chicago, IL 60661
Some features on this profile are disabled
CRD#: 4363137
SD
Professional summary
Sean Michael-thomas Dranfield, who also goes by Sean Micheal-thomas Dranfield, is a registered financial advisor currently at PT ASSET MANAGEMENT, LLC located in Chicago, Illinois and ALPS DISTRIBUTORS, INC. located in Chicago, Illinois.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Sean has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sean Micheal-Thomas Dranfield
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.
PT Asset Management; Investment-Related; 500 W Madison St #500 Chicago, IL 60661; Asset Management; CEO; 160 HRS/MON; 130 HRS/MON During Trading Hours.
CRS (Client Relationship Summary) - RIA
Click below to view Sean Michael-thomas Dranfield'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
January 16, 2015 - Present
PT ASSET MANAGEMENT, LLC
Office #1: 500 W. Madison Street Suite 500, Chicago, IL 60661RIA
CRD#: 107619
Chicago, IL
Current
February 3, 2025 - Present
ALPS DISTRIBUTORS, INC.
Office #1: 500 W. Madison Street Suite 500, Chicago, IL 60661BD
CRD#: 16853
Chicago, IL
Past
January 26, 2015 - February 3, 2025
PERFORMANCE TRUST CAPITAL PARTNERS, LLC
BD
CRD#: 36155
CHICAGO, IL
Past
January 16, 2015 - December 31, 2017
PT ASSET MANAGEMENT, LLC
RIA
CRD#: 107619
CHICAGO, IL
Past
October 25, 2013 - February 5, 2014
WORLD EQUITY GROUP, INC.
RIA
CRD#: 29087
WHEATON, IL
Past
October 25, 2013 - February 5, 2014
WORLD EQUITY GROUP, INC.
BD
CRD#: 29087
WHEATON, IL
Past
April 25, 2012 - December 31, 2014
OAKPATH FINANCIAL
RIA
CRD#: 161366
NORTHFIELD, IL
Past
February 28, 2012 - April 19, 2012
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
CHICAGO, IL
Past
October 24, 2011 - April 19, 2012
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
CHICAGO, IL
Past
May 23, 2003 - December 31, 2010
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
CHICAGO, IL
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".
PA
PT ASSET MANAGEMENT, LLC
BETZOLD BERG INVESTMENT MANAGEMENT INC | PTMR ADVISORS, LLC (RELYING ADVISER) | PT ASSET MANAGEMENT, LLC | PERFORMANCE TRUST INVESTMENT ADVISORS, LLC | PERFORMANCE TRUST INVESTMENT ADVISORS, INC. | PERFORMANCE TRUST CAPITAL PARTNERS, INC. | PERFORMANCE TRUST ASSET MANAGEMENT, LLC | BETZOLD INVESTMENT GROUP, INC. | BETZOLD BERG INVESTMENT MANAGEMENT, INC.
CRD#: 107619 / SEC#: 801-46031
RIA
Registered Investment Advisory firm - (3/11/1994 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.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
Alabama(2/3/2025)
RR
Alaska(2/3/2025)
RR
Arizona(2/3/2025)
RR
Arkansas(2/3/2025)
RR
California(2/3/2025)
RR
Colorado(2/3/2025)
RR
Connecticut(2/3/2025)
RR
Delaware(2/3/2025)
RR
District of Columbia(2/3/2025)
RR
Florida(2/3/2025)
RR
Georgia(2/3/2025)
RR
Hawaii(2/3/2025)
RR
Idaho(2/3/2025)
IAR
Illinois(1/16/2015)
RR
Illinois(2/3/2025)
RR
Indiana(2/3/2025)
RR
Iowa(2/3/2025)
RR
Kansas(2/3/2025)
RR
Kentucky(2/3/2025)
RR
Louisiana(2/3/2025)
RR
Maine(2/3/2025)
RR
Maryland(2/3/2025)
RR
Massachusetts(2/3/2025)
RR
Michigan(2/3/2025)
RR
Minnesota(2/3/2025)
RR
Mississippi(2/3/2025)
RR
Missouri(2/3/2025)
RR
Montana(2/3/2025)
RR
Nebraska(2/3/2025)
RR
Nevada(2/3/2025)
RR
New Hampshire(2/3/2025)
RR
New Jersey(2/3/2025)
RR
New Mexico(2/3/2025)
RR
New York(2/3/2025)
RR
North Carolina(2/3/2025)
RR
North Dakota(2/3/2025)
RR
Ohio(2/3/2025)
RR
Oklahoma(2/3/2025)
RR
Oregon(2/3/2025)
RR
Pennsylvania(2/3/2025)
RR
Puerto Rico(2/3/2025)
RR
Rhode Island(2/3/2025)
RR
South Carolina(2/3/2025)
RR
South Dakota(2/3/2025)
RR
Tennessee(2/3/2025)
RR
Texas(2/3/2025)
RR
Utah(2/3/2025)
RR
Vermont(2/3/2025)
RR
Virginia(2/3/2025)
RR
Washington(2/3/2025)
RR
West Virginia(2/3/2025)
RR
Wisconsin(2/3/2025)
RR
Wyoming(2/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PT ASSET MANAGEMENT, LLC
BETZOLD BERG INVESTMENT MANAGEMENT INC | PTMR ADVISORS, LLC (RELYING ADVISER) | PT ASSET MANAGEMENT, LLC | PERFORMANCE TRUST INVESTMENT ADVISORS, LLC | PERFORMANCE TRUST INVESTMENT ADVISORS, INC. | PERFORMANCE TRUST CAPITAL PARTNERS, INC. | PERFORMANCE TRUST ASSET MANAGEMENT, LLC | BETZOLD INVESTMENT GROUP, INC. | BETZOLD BERG INVESTMENT MANAGEMENT, INC.
CRD#: 107619 / SEC#: 801-46031
RIA
Registered Investment Advisory firm - (3/11/1994 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
500 W. Madison Street Suite 500, Chicago, IL 60661
Mailing Address
Phone number
(312) 521-1000
Established
Firm type
Fiscal year end
# of Employees
52
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6 |
| AUM (Assets Under Management) | $ 9,587,215,582 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
