Sean A. Rogers
FIFTH THIRD SECURITIES
Muskegon, MI 49441
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CRD#: 5470167
Professional summary
Sean Andrew Rogers, CFP®, who also goes by Sean Andrew Rogers, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Muskegon, Michigan.
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 4 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.
Biography
Sean Rogers is a fee-only financial planner in Grand Rapids, MI. He serves individuals and families right in his back yard in West Michigan. He also works virtually with clients all over the country. Sean's firm, Capital Stewardship Partners delivers value-aligned, competent, conflict-free financial advice to Gen X and Millennials. The firm does not have any minimum requirements for net worth, investable assets, or income. This means that you can have affordable access to a fee-only fiduciary regardless of how much money you have available to invest. Sean Rogers is a CERTIFIED FINANCIAL PLANNER™, an XY Planning Network member, a NAPFA-Registered Financial Advisor, and member of the Financial Planning Association and Society of Financial Service Professionals.?
Question & Answer
What are your service offerings?
Debt Management
Retirement Planning
Comprehensive Financial Planni...
Small Business Planning
Investment Planning
Social Security Planning
Budgeting
Estate Planning
Inheritance
Life Transitions
Insurance Planning
Long-term Care
Retirement Income Management
Do you have an area of expertise or specialization?
Business Owners
Cash Flow/Budgets/Credit Issue...
Fixed Fee (Subscription, Retai...
Generation X
Hourly
Tax Planning
Are you a "fiduciary"?
Yes
Aliases
Sean Andrew Rogers
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.
CRS (Client Relationship Summary) - RIA
Click below to view Sean Andrew Rogers's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sean Andrew Rogers'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: 2014
Experience
Current
February 27, 2023 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 710 Seminole Road, Muskegon, MI 49441Office #2: 55 West Main Street, Fremont, MI 49412RIA
BD
CRD#: 628
Muskegon, MI
Current
March 20, 2023 - Present
FIFTH THIRD SECURITIES, INC.
Office #1: 710 Seminole Road, Muskegon, MI 49441Office #2: 55 West Main Street, Fremont, MI 49412RIA
BD
CRD#: 628
Muskegon, MI
Past
March 29, 2022 - February 22, 2023
CAPITAL STEWARDSHIP PARTNERS
RIA
CRD#: 284974
ROCKFORD, MI
Past
November 14, 2016 - December 31, 2021
CAPITAL STEWARDSHIP PARTNERS
RIA
CRD#: 284974
GRAND RAPIDS, MI
Past
October 30, 2014 - December 31, 2016
DYNAMIC
RIA
CRD#: 151367
ESTERO, FL
Past
March 2, 2009 - October 9, 2014
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
FT MYERS, FL
Past
October 10, 2008 - October 9, 2014
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
FT MYERS, FL
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".
FIFTH THIRD SECURITIES, INC.
FIFTH THIRD SECURITIES | THE OHIO COMPANY | FIFTH THIRD/THE OHIO COMPANY | FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
RIA
Registered Investment Advisory firm - SEC (11/17/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago 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
California(3/27/2023)
RR
Colorado(8/1/2023)
RR
Connecticut(11/13/2023)
RR
Florida(8/14/2023)
RR
Illinois(7/2/2025)
RR
Louisiana(6/30/2025)
RR
Maine(9/20/2023)
RR
Maryland(4/5/2023)
IAR
Michigan(2/27/2023)
RR
Michigan(3/20/2023)
RR
Ohio(8/14/2023)
RR
Pennsylvania(8/20/2024)
RR
Wisconsin(10/20/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/20/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FIFTH THIRD SECURITIES, INC.
FIFTH THIRD SECURITIES | THE OHIO COMPANY | FIFTH THIRD/THE OHIO COMPANY | FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
RIA
Registered Investment Advisory firm - SEC (11/17/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
34 Fountain Square Plaza Md 1090am, Cincinnati, OH 45263
Mailing Address
38 Fountain Square Plaza Md 1090am, Cincinnati, OH 45263
Phone number
(888) 889-1025
Established
Ohio since 05/01/1925
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,349
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIFTH THIRD BANK, NATIONAL ASSOCIATION | OWNER | |
| CORSARIE, ROBERT ALBERT | DIRECTOR, HEAD OF RETAIL BROKERAGE | 2213136 |
| JACOBS, JARRETT ANDREW | DIRECTOR, BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER | 3190249 |
| JOHNSON MOBLEY, SHANNON | DIRECTOR, REGIONAL INVESTMENT MANAGER | 2583704 |
| KELLY, GINGER MICHELLE | DIRECTOR, CHIEF ADMINISTRATIVE OFFICER - RETAIL | 2357692 |
| LUDWICK, JAMES PAUL | DIRECTOR, EXECUTIVE DIRECTOR OF INSTITUTIONAL BUSINESS | 4286771 |
| LYONS, TIMOTHY | DIRECTOR, MANAGING DIRECTOR-TRADING | 2544688 |
| MARCUS, ROBERT FRANKLIN | DIRECTOR, HEAD OF CAPITAL MARKETS | 2512810 |
| OVERMANN, JUSTIN MICHAEL | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 4419793 |
| STRATMOEN, CHRISTOPHER SCOTT | DIRECTOR, PRINCIPAL FINANCIAL OFFICER | 5873893 |
Regulatory assets under management
| Total Number of Accounts | 43,067 |
| AUM (Assets Under Management) | $ 9,127,646,064 |
Disclosures
| Regulatory Event | 38 |
| Arbitration | 19 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/20/2025 | ||
| 08/26/2024 | ||
| 10/20/2023 |
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.
Company Information
FIFTH THIRD SECURITIES, INC.
CRD#: 628Muskegon, MI 49441TRUST BUT VERIFY
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