Sean Kimball Clark | Financial Professional | York, Pennsylvania | ROYAL FUND MANAGEMENT, LLC

Professional summary

Sean Kimball Clark is a registered financial advisor currently at ROYAL FUND MANAGEMENT, LLC located in York, Pennsylvania.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Sean has worked at 4 firms and has passed the Series 65, Series 63, Series 6 and Series 26 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.

?YORK INDEPENDENTS, INC.; YES INVESTMENT-RELATED; 18 S. GEORGE ST. #608, YORK, PA 17401; INSURANCE SALES; CEO/INSURANCE AGENT; START DATE02/2011; APPROX 100 HOURS/MONTH; APPROX 100 HOURS/MONTH DURING TRADING; INSURANCE SALES AND SERVICES. ? SOUTHERN NEW HAMPSHIREUNIVERSITY; NOT INVESTMENT RELATED; 2500 N RIVER RD, MANCHESTER, NH 03106; TEACHING; PROFESSOR; START DATE 08/2021; APPROX 05 HRS/MONTH;APPROX 05 HRS/MONTH DURING TRADING; TEACHING COURSES AS ASSIGNED. ? MRFC BOARD; Board member; IARFC issues the MRFC designation. INVESTMENTRELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START ;02/27/2023; 146 N Breiel Blvd, Middletown OH 45042; Review credentialling criteria foIARFC. ? GRAND CANYON UNIVERSITY; Adjunct professor; Teaching online as an adjunct professor; INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIESTRADING HOURS: 0 ; 07/27/2023; 3300 W. Camelback Road Phoenix, AZ 85017, Phoenix AZ 85017, Teaching online as an adjunct professor ? UNIVERSITY OF ARIZONA; adjunct professor NATURE: Teaching as adjunct professor INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 ; 09/04/202180 S Arizona Ave Suite #301, Chandler, AZ 85225, Chandler AZ 85225, Teaching as adjunct professor.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Kimball Clark'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 2, 2024 - Present

ROYAL FUND MANAGEMENT, LLC

Office #1: 18 S. George St. Suite 608, York, PA 17401

RIA

CRD#: 144434

York, PA

Past

May 17, 2018 - May 1, 2024

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

York, PA

Past

January 27, 2017 - May 18, 2018

INTEGRITY ALLIANCE, LLC.

RIA

CRD#: 139627

York, PA

Past

February 4, 2011 - May 3, 2011

INTEGRITY ALLIANCE, LLC.

BD

CRD#: 139627

WRIGHTSVILLE, PA

Past

January 2, 2003 - February 3, 2011

PFS INVESTMENTS INC.

BD

CRD#: 10111

YORK, PA

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".

RF

ROYAL FUND MANAGEMENT, LLC

CRD#: 144434 / SEC#: 801-77918

RIA

Registered Investment Advisory firm - (4/10/2013 Approved)

Florida

Registered Investment Advisory firm - (8/26/2013 Terminated)

Kentucky

Registered Investment Advisory firm - (8/27/2013 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

North Carolina
(5/2/2024)

IAR

Pennsylvania
(7/12/2024)

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

IAR

Series 65

Date: 1/27/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 10/21/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 6

Date: 12/19/2002

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

RR

Series 26

Date: 8/12/2005

Investment Company Products/Variable Contracts Principal Examination

Current Firm

RF

ROYAL FUND MANAGEMENT, LLC

CRD#: 144434 / SEC#: 801-77918

RIA

Registered Investment Advisory firm - (4/10/2013 Approved)

Florida

Registered Investment Advisory firm - (8/26/2013 Terminated)

Kentucky

Registered Investment Advisory firm - (8/27/2013 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).

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Contact information

Main Address

1515 Buenos Aires Blvd, Lady Lake, FL 32159

Mailing Address

Phone number

(352) 750-1637

Established

Firm type

Fiscal year end

# of Employees

93

SEC notice filing (44 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROYAL FUND MANAGEMENT, LLC ADV BROCHURE_SCHWAB (3/24/2025)

Regulatory assets under management

Total Number of Accounts	10,143
AUM (Assets Under Management)	$ 1,307,115,289

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

Firm Stability Insights

Sean K. Clark

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Kimball Clark's CRS (Customer Relationship Summary).

Certified licenses

Experience

AE WEALTH MANAGEMENT, LLC

INTEGRITY ALLIANCE, LLC.

INTEGRITY ALLIANCE, LLC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

ROYAL FUND MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/27/2017

Series 63

Date: 10/21/2002

Series 6

Date: 12/19/2002

Series 26

Date: 8/12/2005

Current Firm

ROYAL FUND MANAGEMENT, LLC

Contact information

SEC notice filing (44 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROYAL FUND MANAGEMENT, LLC

TRUST BUT VERIFY

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