Sean P. Hanson
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 Patrick Hanson, CFP® was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2009. Sean had worked at 3 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
Start date: 2012
Experience
October 27, 2023 - May 19, 2026
NORTHROCK PARTNERS, LLC
July 15, 2013 - November 1, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
July 15, 2013 - November 1, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
July 13, 2009 - July 9, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 1, 2009 - July 9, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
Primary Firm SEC Registration
NORTHROCK PARTNERS, LLC
CRD#: 167908 / SEC#: 801-78194
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
NORTHROCK PARTNERS, LLC
CRD#: 167908 / SEC#: 801-78194
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,834 |
| AUM (Assets Under Management) | $ 6,596,242,797 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/26/2025 | ||
| 11/05/2024 | ||
| 01/29/2024 |
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.
