Sean A. Mcintyre
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 Adam Mcintyre, who also goes by Sean Mcintyre, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2008. Sean had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2014 - December 23, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 13, 2014 - December 23, 2014
TD AMERITRADE, INC.
January 13, 2014 - December 23, 2014
TD AMERITRADE, INC.
August 17, 2010 - December 20, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 7, 2010 - December 20, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 18, 2009 - July 7, 2009
RIDGEWAY & CONGER, INC.
July 1, 2008 - August 7, 2008
TAFFERER TRADING, LLC
March 12, 2008 - April 9, 2008
HENNION & WALSH, INC.
February 20, 2008 - March 4, 2008
GMS GROUP
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
