Sean C. Reusch

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CRD#: 5118010

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 C Reusch was a registered financial professional .

Sean is a previously registered financial professional and started their career in finance in 2006. Sean had worked at 4 firms and has passed the Series 65, Series 66, Series 87, Series 86 and Series 7 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.

Sombra Capital Management is a private investment firm

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 1, 2023 - October 19, 2023

BROADOAK ASSET MANAGEMENT, LLC

RIA

CRD#: 148901

BETHESDA, MD

Past

November 11, 2008 - March 25, 2009

BROADPOINT AMTECH, INC.

CRD#: 121456

NEW YORK, NY

Past

December 5, 2007 - September 10, 2008

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

Past

June 12, 2006 - December 3, 2007

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

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".

BROADOAK ASSET MANAGEMENT, LLC

BROADOAK ADVISORS | POINTOAK ADVISORS, LLC | POINTOAK ADVISORS | BROADOAK ASSET MANAGEMENT, LLC

CRD#: 148901 / SEC#: 801-121842

RIA

Registered Investment Advisory firm - (7/23/2021 Approved)

Maryland

Registered Investment Advisory firm - (12/1/2022 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 65

Date: 12/31/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/7/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 87

Date: 10/16/2006

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 9/18/2006

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 6/9/2006

General Securities Representative Examination

Current Firm

BROADOAK ASSET MANAGEMENT, LLC

BROADOAK ADVISORS | POINTOAK ADVISORS, LLC | POINTOAK ADVISORS | BROADOAK ASSET MANAGEMENT, LLC

CRD#: 148901 / SEC#: 801-121842

RIA

Registered Investment Advisory firm - (7/23/2021 Approved)

Maryland

Registered Investment Advisory firm - (12/1/2022 Terminated)

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Contact information

Main Address

4800 Montgomery Lane Suite 230, Bethesda, MD 20814

Mailing Address

Phone number

(301) 358-2692

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

BROADOAK ASSET MANAGEMENT, LLC. FIRM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	12
AUM (Assets Under Management)	$ 595,432,691

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 C. Reusch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BROADPOINT AMTECH, INC.

GLEACHER & COMPANY SECURITIES, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

BROADOAK ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/31/2022

Series 66

Date: 8/7/2006

Series 87

Date: 10/16/2006

Series 86

Date: 9/18/2006

Series 7

Date: 6/9/2006

Current Firm

BROADOAK ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BROADOAK ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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