Sean P. Collins

CORE ALPHA

Rochester, NY 14624

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CRD#: 5010529

Professional summary

Sean Patrick Collins is a registered financial advisor currently at CORE ALPHA, INC. located in Rochester, New York and MUTUAL FUNDS ASSOCIATES INC. located in Rochester, New York.

Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Sean has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 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.

SEAN CURRENTLY OWNS A SMALL WEBSITE CALLED AMERICAN EMART THAT DOES A SMALL AMOUNT OF RETAIL SALES. SEAN CURRENTLY OWNS AND OPERATES, S.P.COLLINS & COMPANY WHICH OFFERS TAX PREPARATION SERVICES TO INDIVIDUALS AND BUSINESS. WWW.SPCOLLINSANDCOMPANY.COM

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Patrick Collins'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

August 11, 2021 - Present

CORE ALPHA, INC.

Office #1: 1701 Chili Avenue, Rochester, NY 14624

RIA

CRD#: 119635

Rochester, NY

Current

September 1, 2006 - Present

MUTUAL FUNDS ASSOCIATES INC.

Office #1: 1701 Chili Ave, Rochester, NY 14624

CRD#: 2856

Rochester, NY

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".

CORE ALPHA, INC.

CRD#: 119635 / SEC#: 801-118545

RIA

Registered Investment Advisory firm - (4/27/2020 Approved)

New York

Registered Investment Advisory firm - (3/27/2023 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.

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

Florida
(3/1/2016)

New York
(9/1/2006)

IAR

New York
(8/11/2021)

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

State Security Law Exam

IAR

Series 65

Date: 2/6/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/5/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/23/2006

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CORE ALPHA, INC.

CRD#: 119635 / SEC#: 801-118545

RIA

Registered Investment Advisory firm - (4/27/2020 Approved)

New York

Registered Investment Advisory firm - (3/27/2023 Terminated)

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Contact information

Main Address

1701 Chili Avenue, Rochester, NY 14624

Mailing Address

Phone number

(585) 235-3600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - CORE ALPHA, INC. (6/25/2025)

TERRANCE COLLINS BROCHURE (1/30/2025)

SEAN COLLINS BROCHURE (1/30/2025)

Regulatory assets under management

Total Number of Accounts	761
AUM (Assets Under Management)	$ 112,770,386

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 P. Collins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

MUTUAL FUNDS ASSOCIATES INC.

Primary Firm SEC Registration

CORE ALPHA, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/6/2010

Series 63

Date: 7/5/2006

SIE

Date: 10/1/2018

Series 6

Date: 6/23/2006

FINRA

Current Firm

CORE ALPHA, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CORE ALPHA, INC.

TRUST BUT VERIFY

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