Sean M. Conner

ETHOS CAPITAL MANAGEMENT

NEWTOWN, PA 18940

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CRD#: 4475108

Professional summary

Sean Michael Conner, CFP® is a registered financial advisor currently at ETHOS CAPITAL MANAGEMENT, INC. located in Newtown, Pennsylvania.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Sean has worked at 3 firms and has passed the Series 63, SIE and Series 6 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.) ETHOS CAPITAL ADVISORS, LLC; INVESTMENT-RELATED: YES; ADDRESS: 111 SOUTH STATE STREET, NEWTOWN, PA 18940; NATURE: INSURANCE; POSITION: ADMINISTRATIVE - START DATE: 09/2024; APPROXIMATELY 40 HOURS/MONTH WITH 40 HOURS DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Michael Conner'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®

CFP^®

Certified Financial Planner

Start date: 2005

Experience

Current

November 14, 2024 - Present

ETHOS CAPITAL MANAGEMENT, INC.

Office #1: 626 South State Street, Newtown, PA 18940

RIA

CRD#: 313145

NEWTOWN, PA

Past

September 10, 2004 - March 22, 2019

DELAWARE DISTRIBUTORS, L.P.

CRD#: 14232

PHILADELPHIA, PA

Past

January 1, 2002 - August 2, 2004

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

HARTFORD, CT

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".

ETHOS CAPITAL MANAGEMENT, INC.

CRD#: 313145 / SEC#: 801-132170

RIA

Registered Investment Advisory firm - (3/26/2025 Approved)

New Jersey

Registered Investment Advisory firm - (4/21/2025 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/1/2025 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

New Jersey
(12/4/2024)

IAR

Pennsylvania
(11/14/2024)

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

Series 63

Date: 5/8/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/22/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ETHOS CAPITAL MANAGEMENT, INC.

CRD#: 313145 / SEC#: 801-132170

RIA

Registered Investment Advisory firm - (3/26/2025 Approved)

New Jersey

Registered Investment Advisory firm - (4/21/2025 Terminated)

Pennsylvania

Registered Investment Advisory firm - (4/1/2025 Terminated)

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Contact information

Main Address

626 South State Street, Newtown, PA 18940

Mailing Address

Phone number

(215) 968-1820

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ETHOS CAPITAL MANAGEMENT, INC. FORM ADV PART 2A (9/22/2025)

Regulatory assets under management

Total Number of Accounts	429
AUM (Assets Under Management)	$ 129,143,442

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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Sean M. Conner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Michael Conner's CRS (Customer Relationship Summary).

Certified licenses

Experience

ETHOS CAPITAL MANAGEMENT, INC.

DELAWARE DISTRIBUTORS, L.P.

GLOBAL ATLANTIC DISTRIBUTORS, LLC

Primary Firm SEC Registration

ETHOS CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/8/2002

SIE

Date: 10/1/2018

Series 6

Date: 12/22/2001

Current Firm

ETHOS CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ETHOS CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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