SC
Sean G. Carter
KINGSTONE CAPITAL PARTNERS TEXAS
Littleton, CO
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CRD#: 4729624
SC
Professional summary
Sean G Carter is a registered financial advisor currently at KINGSTONE CAPITAL PARTNERS TEXAS, LLC located in Littleton, Colorado.
Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Sean has 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"?
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.
INDEPENDENT INSURANCE AGENT WITH VERITY FINANCIAL, NON-INVESTMENT RELATED,2763 W RIVERWALK CIRCLE LITTLETON CO. 80123, INSURANCE SALES, INDEPENDENT AGENT, STARTED 02/2017. I SPEND APPROXIMATELY 20 HOURS A WEEK OF MY TIME, NO TIME DURING MARKET HOURS
NAME OF OTHER BUSINESS: KINGSTONE CAPITAL PARTNERS; IS OTHER BUSINESS INVESTMENT RELATED: YES; ADDRESS OF OTHER BUSINESS: DALLAS, ,TEXAS; NATURE OF OTHER BUSINESS: DIRECTOR; ; STATE DATE: 01/2017; APPROXIMATE NUMBER OF HOURS PER MONTH DEVOTED TO OTHER BUSINESS:160 HOURS PER MONTH; NUMBER OF HOURS DEVOTED TO OTHER BUSINESS DURING SECURITIES TRADING HOURS:150 HOURS PER MONTH; DUTIES RELATING TO OTHER BUSINESS: INVESTMENT ADVISOR
CRS (Client Relationship Summary) - RIA
Click below to view Sean G Carter'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 5, 2018 - Present
KINGSTONE CAPITAL PARTNERS TEXAS, LLC
RIA
CRD#: 281593
Littleton, CO
Past
March 9, 2017 - May 11, 2020
EMERSON EQUITY LLC
BD
CRD#: 130032
Littleton, CO
Past
February 27, 2017 - December 31, 2017
KINGSTONE CAPITAL PARTNERS TEXAS, LLC
RIA
CRD#: 281593
FRISCO, TX
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.
BD
CRD#: 16944
DENVER, CO
Past
December 10, 2014 - February 20, 2015
REGULUS FINANCIAL GROUP, LLC
BD
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
BD
CRD#: 8217
DENVER, CO
Past
December 4, 2003 - October 10, 2005
JANUS HENDERSON DISTRIBUTORS US LLC
BD
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".
KC
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)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
California(1/31/2018)
IAR
Colorado(4/5/2018)
IAR
Texas(1/5/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
KC
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)Upgrade to AdvisorCheck Premium
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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
8
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 439 |
| AUM (Assets Under Management) | $ 158,051,622 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
