Sean G. Carter

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CRD#: 4729624

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 G Carter was a registered financial professional .

Sean is a previously registered financial professional and started their career in finance in 2003. Sean had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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.

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

January 5, 2018 - May 14, 2026

KINGSTONE CAPITAL PARTNERS TEXAS, LLC

RIA

CRD#: 281593

Littleton, CO

Past

March 9, 2017 - May 11, 2020

EMERSON EQUITY LLC

CRD#: 130032

Littleton, CO

Past

February 27, 2017 - December 31, 2017

KINGSTONE CAPITAL PARTNERS TEXAS, LLC

RIA

CRD#: 281593

Littleton, CO

Past

April 14, 2015 - September 1, 2016

NEWPORT COAST SECURITIES, INC.

RIA

CRD#: 16944

DENVER, CO

Past

April 14, 2015 - September 1, 2016

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

DENVER, CO

Past

December 10, 2014 - February 20, 2015

REGULUS FINANCIAL GROUP, LLC

CRD#: 150631

KENTWOOD, MI

Past

April 4, 2014 - February 20, 2015

REGAL INVESTMENT ADVISORS LLC

RIA

CRD#: 125004

DENVER, CO

Past

October 20, 2005 - December 20, 2012

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

December 4, 2003 - October 10, 2005

JANUS HENDERSON DISTRIBUTORS US LLC

CRD#: 28832

DENVER, CO

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".

KINGSTONE CAPITAL PARTNERS TEXAS, LLC

KINGSTONE CAPITAL PARTNERS TEXAS, LLC | LENANDER FINANCIAL ADVISORY

CRD#: 281593 / SEC#: 801-119503

RIA

Registered Investment Advisory firm - (9/22/2020 Approved)

Arizona

Registered Investment Advisory firm - (5/1/2019 Terminated)

California

Registered Investment Advisory firm - (10/30/2020 Terminated)

Colorado

Registered Investment Advisory firm - (10/19/2020 Terminated)

Florida

Registered Investment Advisory firm - (9/30/2020 Terminated)

Texas

Registered Investment Advisory firm - (9/30/2020 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.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 4/4/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/23/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/22/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/3/2003

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 3/10/2008

Investment Company Products/Variable Contracts Principal Examination

Current Firm

KINGSTONE CAPITAL PARTNERS TEXAS, LLC

KINGSTONE CAPITAL PARTNERS TEXAS, LLC | LENANDER FINANCIAL ADVISORY

CRD#: 281593 / SEC#: 801-119503

RIA

Registered Investment Advisory firm - (9/22/2020 Approved)

Arizona

Registered Investment Advisory firm - (5/1/2019 Terminated)

California

Registered Investment Advisory firm - (10/30/2020 Terminated)

Colorado

Registered Investment Advisory firm - (10/19/2020 Terminated)

Florida

Registered Investment Advisory firm - (9/30/2020 Terminated)

Texas

Registered Investment Advisory firm - (9/30/2020 Terminated)

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Contact information

Main Address

6160 Warren Parkway Suite 100, Frisco, TX 75034

Mailing Address

Phone number

(866) 361-1600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KINGSTONE CAPITAL PARTNERS TEXAS LLC - FORM ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	439
AUM (Assets Under Management)	$ 158,051,622

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 G. Carter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EMERSON EQUITY LLC

KINGSTONE CAPITAL PARTNERS TEXAS, LLC

NEWPORT COAST SECURITIES, INC.

NEWPORT COAST SECURITIES, INC.

REGULUS FINANCIAL GROUP, LLC

REGAL INVESTMENT ADVISORS LLC

TRANSAMERICA CAPITAL, LLC

JANUS HENDERSON DISTRIBUTORS US LLC

Primary Firm SEC Registration

KINGSTONE CAPITAL PARTNERS TEXAS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/4/2014

Series 63

Date: 12/23/2003

SIE

Date: 10/1/2018

Series 7

Date: 12/22/2004

Series 6

Date: 12/3/2003

Series 26

Date: 3/10/2008

Current Firm

KINGSTONE CAPITAL PARTNERS TEXAS, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KINGSTONE CAPITAL PARTNERS TEXAS, LLC

TRUST BUT VERIFY

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