SA
Sean M. Akins
TD PRIVATE CLIENT WEALTH LLC
Hudson Falls, NY 12839
Some features on this profile are disabled
CRD#: 5657646
SA
Professional summary
Sean Michael Akins, who also goes by Sean Akins, Sean Michael Akins, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Hudson Falls, New York.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Sean has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sean Akins | Sean Michael Akins
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.
CAPITAL DISTRICT BOARD OF WOMENS BASKETBALL OFFICIALS POSITION: referee NATURE: Girls high school basketball referee. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 09/20/2015 ADDRESS: 45 Ballina St, Troy NY 12180, United States DESCRIPTION: Girls high school basketball official.
CRS (Client Relationship Summary) - RIA
Click below to view Sean Michael Akins's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sean Michael Akins'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 23, 2023 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 14 Main Street, Hudson Falls, NY 12839RIA
BD
CRD#: 164484
Hudson Falls, NY
Current
November 25, 2022 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 1133 Westchester Ave, White Plains, NY 10604RIA
BD
CRD#: 164484
White Plains, NY
Past
August 5, 2020 - April 9, 2021
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
PLATTSBURGH, NY
Past
November 25, 2019 - June 25, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
SOUTH GLENS FALLS, NY
Past
September 4, 2009 - December 13, 2017
STATE FARM VP MANAGEMENT CORP.
BD
CRD#: 43036
BLOOMINGTON, IL
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".
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 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
Connecticut(6/6/2025)
IAR
Connecticut(6/6/2025)
RR
Florida(5/15/2025)
IAR
Florida(5/16/2025)
RR
Massachusetts(7/24/2025)
IAR
Massachusetts(8/1/2025)
RR
New Jersey(2/18/2025)
IAR
New Jersey(2/19/2025)
RR
New York(11/25/2022)
IAR
New York(1/23/2023)
RR
Vermont(2/1/2023)
IAR
Vermont(2/1/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/13/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1 Vanderbilt Avenue 23rd Floor 23rd Floor, New York, NY, 10017
Mailing Address
1 Vanderbilt Avenue 23rd Floor, New York, NY, 10017
Phone number
(877) 703-9896
Established
Delaware since 07/13/2012
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
662
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
