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SH

Sean D. Hosfield

MORRIS GROUP
Indianapolis, IN 46240
Some features on this profile are disabled
CRD#: 5538619
SH

Professional summary

Sean Douglas Hosfield is a registered financial professional currently at MORRIS GROUP, INC. located in Indianapolis, Indiana.

Sean is registered as a RR (Registered Representative) and started their career in finance in 2012. Sean has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sean Douglas Hosfield's CRS (Customer Relationship Summary).
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®
None

Experience

Current

February 2, 2015 - Present

MORRIS GROUP, INC.

Office #1: 8445 Keystone Xing Suite 240, Indianapolis, IN 46240
BD
CRD#: 13181
Indianapolis, IN
Past

September 12, 2013 - December 23, 2014

FARMERS FINANCIAL SOLUTIONS, LLC

BD
CRD#: 103863
GREENFIELD, IN
Past

May 9, 2012 - May 2, 2013

FARMERS FINANCIAL SOLUTIONS, LLC

BD
CRD#: 103863
INDIANAPOLIS, IN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Indiana
(2/2/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 2/29/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 5/8/2012
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MG
MORRIS GROUP, INC.
MORRIS GROUP, INC.

CRD#: 13181 / SEC#: , 8-28916

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
8445 Keystone Xing Suite 240, Indianapolis, IN 46240
Mailing Address
8445 Keystone Xing Suite 240, Indianapolis, IN 46240
Phone number
(317) 217-5440
Established
Indiana since 10/22/1982
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SIMMONS, JOHN RYANCCO, PRESIDENT4492497
REYNOLDS, MATTHEW MARKFINANCIAL AND OPERATIONAL PRINCIPAL (FINOP)4077413
SIMMONS, JOHN BASILVICE PRESIDENT1355715

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

MORRIS GROUP, INC.

CRD#: 13181Indianapolis, IN 46240

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