Sean E. Davis

PELICAN INVESTMENT ADVISORS

BATON ROUGE, LA 70809

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CRD#: 4840930

Professional summary

Sean E Davis, who also goes by Sean Davis, is a registered financial advisor currently at PELICAN INVESTMENT ADVISORS, LLC located in Baton Rouge, Louisiana and PURSHE KAPLAN STERLING INVESTMENTS located in Baton Rouge, Louisiana.

Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Sean has worked at 7 firms and has passed the SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sean Davis

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 E Davis'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 28, 2021 - Present

PELICAN INVESTMENT ADVISORS, LLC

Office #1: 10307 Jefferson Highway Suite A, Baton Rouge, LA 70809

RIA

CRD#: 313227

BATON ROUGE, LA

Current

June 2, 2021 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 10307 Jefferson Highway Suite A, Baton Rouge, LA 70809

CRD#: 35747

Baton Rouge, LA

Past

August 3, 2017 - May 27, 2021

LEVEL FOUR ADVISORY SERVICES

RIA

CRD#: 134086

Baton Rouge, LA

Past

July 20, 2017 - June 1, 2021

LPL FINANCIAL LLC

CRD#: 6413

BATON ROUGE, LA

Past

May 28, 2009 - July 27, 2017

ONEAMERICA SECURITIES, INC.

RIA

CRD#: 4173

BATON ROUGE, LA

Past

May 7, 2009 - July 27, 2017

ONEAMERICA SECURITIES, INC.

CRD#: 4173

BATON ROUGE, LA

Past

November 10, 2004 - March 31, 2009

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

BATON ROUGE, LA

Past

October 25, 2004 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

BATON ROUGE, LA

Past

October 25, 2004 - March 31, 2009

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

BATON ROUGE, LA

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Louisiana
(5/28/2021)

Louisiana
(6/2/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/21/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/23/2004

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

PELICAN INVESTMENT ADVISORS, LLC

CRD#: 313227 / SEC#: 801-120649

RIA

Registered Investment Advisory firm - (7/27/2022 Terminated)

Louisiana

Registered Investment Advisory firm - (7/26/2022 Approved)

Texas

Registered Investment Advisory firm - (7/11/2023 Conditional Restricted)

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

10307 Jefferson Highway Suite A, Baton Rouge, LA 70809

Mailing Address

Phone number

(225) 293-9283

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	211
AUM (Assets Under Management)	$ 72,510,000

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 E. Davis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean E Davis's CRS (Customer Relationship Summary).

Certified licenses

Experience

PELICAN INVESTMENT ADVISORS, LLC

PURSHE KAPLAN STERLING INVESTMENTS

LEVEL FOUR ADVISORY SERVICES

LPL FINANCIAL LLC

ONEAMERICA SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 7

Date: 6/21/2016

Series 6

Date: 10/23/2004

FINRA

Current Firm

PELICAN INVESTMENT ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PELICAN INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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