Sean P. Moran

PINNACLE FINANCIAL GROUP LLC

Western Springs, IL 60558

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CRD#: 4778230

Professional summary

Sean Patrick Moran, CFP®, who also goes by Sean Moran, is a registered financial advisor currently at PINNACLE FINANCIAL GROUP LLC located in Western Springs, Illinois.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Sean has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sean Moran

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) - RIA

Click below to view Sean Patrick Moran'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

Experience

Current

April 10, 2024 - Present

PINNACLE FINANCIAL GROUP LLC

Office #1: 823 Burlington Avenue, Western Springs, IL 60558

RIA

CRD#: 116600

Western Springs, IL

Past

December 17, 2021 - April 19, 2024

SCHWAB WEALTH ADVISORY, INC.

RIA

CRD#: 159035

Chicago, IL

Past

December 17, 2021 - April 19, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Chicago, IL

Past

March 9, 2016 - August 16, 2021

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CHICAGO, IL

Past

November 3, 2015 - August 16, 2021

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CHICAGO, IL

Past

May 26, 2010 - December 1, 2015

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

CHICAGO, IL

Past

June 1, 2009 - June 16, 2010

MORGAN STANLEY

CRD#: 149777

CHICAGO, IL

Past

September 12, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

CHICAGO, IL

Past

April 13, 2004 - June 14, 2006

ROSENTHAL GLOBAL SECURITIES LLC

CRD#: 19721

CHICAGO, IL

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".

PINNACLE FINANCIAL GROUP LLC

CRD#: 116600 / SEC#: 801-71357

RIA

Registered Investment Advisory firm - (4/19/2010 Approved)

Illinois

Registered Investment Advisory firm - (4/19/2010 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

Illinois
(4/10/2024)

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 66

Date: 3/9/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/16/2006

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: 4/12/2004

General Securities Representative Examination

Current Firm

PINNACLE FINANCIAL GROUP LLC

CRD#: 116600 / SEC#: 801-71357

RIA

Registered Investment Advisory firm - (4/19/2010 Approved)

Illinois

Registered Investment Advisory firm - (4/19/2010 Terminated)

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Contact information

Main Address

823 Burlington Avenue, Western Springs, IL 60558

Mailing Address

Phone number

(708) 246-6262

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PINNACLE FINANCIAL GROUP LLC (3/3/2025)

Regulatory assets under management

Total Number of Accounts	1,138
AUM (Assets Under Management)	$ 571,021,893

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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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Sean P. Moran

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Patrick Moran's CRS (Customer Relationship Summary).

Certified licenses

Experience

SCHWAB WEALTH ADVISORY, INC.

CHARLES SCHWAB & CO., INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CREDIT SUISSE SECURITIES (USA) LLC

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

ROSENTHAL GLOBAL SECURITIES LLC

Primary Firm SEC Registration

PINNACLE FINANCIAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/9/2016

Series 63

Date: 10/16/2006

SIE

Date: 10/1/2018

Series 7

Date: 4/12/2004

Current Firm

PINNACLE FINANCIAL GROUP LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PINNACLE FINANCIAL GROUP LLC

TRUST BUT VERIFY

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