Sean P. Lynch
RBC CAPITAL MARKETS
NASHUA, NH 03063-1976
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CRD#: 5455217
Professional summary
Sean Patrick Lynch, CFP®, who also goes by Sean Lynch, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Nashua, New Hampshire.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Sean has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sean Lynch
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.
(1) NAME OF ENTITY: Aria Covey Foundation. ADDRESS OF BUSINESS: 5 Crickett Ridge Dr. Windham, NH 03087. BUSINESS DESCRIPTIONS: Non-Profit Foundation. BUSINESS IS NOT INVESTMENT RELATED. PROJECTED START DATE: - 01/01/15. PROJECTED END DATE: - 09/26/16. CAPACITY: Board of Directors. DUTIES PERFORMED: Assist in organizing the annual golf tourney. Generating ideas for gifting. Voting on gifting ideas. HOURS DEVOTED TO THIS OBA PER MONTH: 01. HOURS DEVOTED DURING SECURITY TRADING HOURS PER MONTH: None. 2) Name: Scouts of NH Address: 571 Holt Avenue Manchester, NH 03109 Business Description: strive to successfully encourage men and women who believe in scouting to invest in our future Business is not investment related Projected Start Date: 10/01/20 Capacity: Committee/Council Member (not associated with the Board of Directors) Duties Performed: Devoted to this OBA per Month: 0 Hours Devoted to this OBA during business hours: 0 3) NAME OF ENTITY: FeedNH ADDRESS: 124 Bedford Center Rd Bedford NH 03110 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Charitable organization focused on hellping Families, Edlerly, educate and disadvantaged CAPACITY: Board of Directors * START DATE: 10.01.21 DUTIES: We have quarterly board meetings to vote on upcoming charitable gifting. I participate in the annual golf tournament and now post COVID there will likely be other events. meetings are around planning, fundraising and gifting PER MONTH: 2; SECURITIES HOURS: 0
CRS (Client Relationship Summary) - RIA
Click below to view Sean Patrick Lynch's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sean Patrick Lynch's 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®
Start date: 2017
Experience
Current
June 23, 2008 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 9 Trafalgar Square Suite 200, Nashua, NH 03063-1976RIA
BD
CRD#: 31194
NASHUA, NH
Current
June 23, 2008 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 9 Trafalgar Square Suite 200, Nashua, NH 03063-1976RIA
BD
CRD#: 31194
NASHUA, NH
Past
January 28, 2008 - June 23, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NASHUA, NH
Past
January 14, 2008 - January 1, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
NASHUA, NH
Past
January 1, 2008 - June 23, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NASHUA, NH
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".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.RR
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
RR
Alabama(1/7/2011)
RR
Arizona(3/18/2010)
RR
California(1/2/2009)
RR
Colorado(3/18/2010)
RR
Connecticut(4/5/2010)
RR
Delaware(4/9/2014)
RR
Florida(1/2/2009)
RR
Georgia(2/26/2013)
RR
Illinois(1/7/2011)
RR
Indiana(11/5/2012)
RR
Kansas(9/5/2024)
RR
Maine(3/18/2010)
RR
Maryland(4/9/2014)
RR
Massachusetts(6/23/2008)
RR
Michigan(3/18/2010)
RR
Minnesota(3/18/2010)
RR
Missouri(1/11/2012)
RR
New Hampshire(6/23/2008)
IAR
New Hampshire(6/23/2008)
RR
New Jersey(1/19/2011)
RR
New York(3/18/2010)
RR
North Carolina(3/18/2010)
RR
Ohio(3/18/2010)
RR
Oregon(10/10/2024)
RR
Pennsylvania(3/18/2010)
RR
Rhode Island(3/18/2010)
RR
South Carolina(3/18/2010)
RR
South Dakota(9/25/2023)
RR
Tennessee(4/16/2019)
RR
Texas(3/18/2010)
IAR
Texas(6/28/2016)
RR
Utah(6/16/2016)
RR
Vermont(1/2/2009)
RR
Virgin Islands(11/20/2024)
IAR
Virgin Islands(11/22/2024)
RR
Virginia(3/18/2010)
RR
Washington(3/18/2010)
RR
West Virginia(3/18/2010)
RR
Wisconsin(2/8/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
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.
