Sean M. Tupper
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 Michael Tupper was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2003. Sean had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2011 - January 4, 2018
CONNING INVESTMENT PRODUCTS, INC.
October 4, 2010 - November 21, 2011
1851 SECURITIES, INC
February 4, 2009 - September 23, 2010
AXCELUS FINANCIAL DISTRIBUTION COMPANY
September 2, 2004 - February 4, 2009
VP DISTRIBUTORS LLC
September 25, 2003 - July 2, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
September 25, 2003 - July 2, 2004
IDS LIFE INSURANCE COMPANY
September 25, 2003 - July 2, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CONNING INVESTMENT PRODUCTS, INC.
CRD#: 120387 / SEC#: 801-79816, 8-66444
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CONNING INVESTMENT PRODUCTS, INC.
CRD#: 120387 / SEC#: 801-79816, 8-66444
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONNING & COMPANY | SHAREHOLDER | |
| BRADFORD, LINWOOD EARLE JR | CHAIR BOARD OF DIRECTORS | 4179446 |
| DALY, MATTHEW KENNETH | PRESIDENT & HEAD OF SALES/ BOARD MEMBER | 2638773 |
| GEORGE, KENNETH RONALD | FINOP | 2643369 |
| LEE, JUNG WON | MANAGING DIRECTOR, CFO & COO, BOARD MEMBER | 2791334 |
| PEARCE, ROBERT STEDMAN | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | 1991468 |
| SMALLEY, VI (VIOLA) R. | CHIEF LEGAL COUNSEL/CORPORATE SECRETARY | 5899872 |
Regulatory assets under management
| Total Number of Accounts | 9 |
| AUM (Assets Under Management) | $ 517,711,336 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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