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Sean P. Smith
CHARTERED ADVISORY GROUP
CHADDS FORD, PA 19317-9724
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CRD#: 5534225
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Professional summary
Sean Patrick Smith is a registered financial advisor currently at CHARTERED ADVISORY GROUP located in Chadds Ford, Pennsylvania.
Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Sean has worked at 2 firms and has passed the Series 66, SIE and Series 7 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.
**CHARTERED ADVISORY GROUP POSITION: Financial Advisor NATURE: CHARTERED ADVISORY GROUP, INC./RIA--FINANCIAL ADVISOR100% TIME SPENT INVESTMENT RELATED: Yes NUMBER OF HOURS: 174 SECURITIES TRADING HOURS: 174 START DATE: 01/01/2011 ADDRESS: 130 Commons Court, Chadds Ford PA 19317 DESCRIPTION: Provide RIA services to clients. **INSURANCE AGENT POSITION: Client Service NATURE: INSURANCE AGENT INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/17/2011 ADDRESS: 130 Commons Court, Chadds Ford PA 19317 DESCRIPTION: Provide service to insurance product clients. **HAPPY THINGS DIGITAL LABS LLC D.B.A. PINPOINT LOCAL POSITION: Franchise Owner & General Manager NATURE: Happy Things Digital Labsd.b.a. PinPoint Local - Offer website services (design, hosting, SEO, digital marketing) tosmall businesses. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 04/01/2019 ADDRESS: 8 The Green, Suite B, Dover DE 19901, United States DESCRIPTION: Offer website services (design, hosting, SEO, digital marketing) to small businesses through Pinpoint Local. **REDEEMER FELLOWSHIP POSITION: Pastor NATURE: Pastor at church. INVESTMENT RELATED: No NUMBER OF HOURS: 86 SECURITIES TRADING HOURS: 21 START DATE: 06/12/2022 ADDRESS: 11 Polly Drummond Shopping Center, Newark DE 19711, United States DESCRIPTION: Help organize various aspects of the order of Sunday morning service. Co-operate with church pastors on planning and executionof various church activities. Maintain ongoing pastoralduties such as religious education, co-ordination of church care, and occasional counseling.
CRS (Client Relationship Summary) - RIA
Click below to view Sean Patrick Smith'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®
NoneExperience
Current
January 4, 2011 - Present
CHARTERED ADVISORY GROUP
Office #1: 130 Commons Ct, Chadds Ford, PA 19317-9724RIA
CRD#: 116517
CHADDS FORD, PA
Past
November 5, 2010 - October 23, 2023
SECURITIES AMERICA, INC.
BD
CRD#: 10205
CHADDS FORD, PA
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".
CA
CHARTERED ADVISORY GROUP
CHARTERED ADVISORY GROUP | CHARTERED FINANCIAL GROUP, INC. | CHARTERED ADVISORY GROUP, INC.
CRD#: 116517 / SEC#: 801-72496
RIA
Registered Investment Advisory firm - (6/22/2011 Approved)Delaware
Registered Investment Advisory firm - (3/14/2012 Terminated)Maryland
Registered Investment Advisory firm - (8/19/2011 Terminated)New Jersey
Registered Investment Advisory firm - (7/19/2011 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/15/2012 Terminated)Texas
Registered Investment Advisory firm - (3/9/2012 Terminated)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.Highlighted states indicate IAR registrations
IAR
Delaware(1/4/2011)
IAR
Maryland(1/4/2011)
IAR
Pennsylvania(1/4/2011)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CA
CHARTERED ADVISORY GROUP
CHARTERED ADVISORY GROUP | CHARTERED FINANCIAL GROUP, INC. | CHARTERED ADVISORY GROUP, INC.
CRD#: 116517 / SEC#: 801-72496
RIA
Registered Investment Advisory firm - (6/22/2011 Approved)Delaware
Registered Investment Advisory firm - (3/14/2012 Terminated)Maryland
Registered Investment Advisory firm - (8/19/2011 Terminated)New Jersey
Registered Investment Advisory firm - (7/19/2011 Terminated)Pennsylvania
Registered Investment Advisory firm - (3/15/2012 Terminated)Texas
Registered Investment Advisory firm - (3/9/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
130 Commons Court, Chadds Ford, PA 19317
Mailing Address
Phone number
(610) 459-8872
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 728 |
| AUM (Assets Under Management) | $ 120,771,028 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
