Sean M. Young

Some features on this profile are disabled

CRD#: 5695303

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 Michael Young, CFP®, who also goes by Sean Young, was a registered financial professional .

Sean is a previously registered financial professional and started their career in finance in 2015. Sean had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Aliases

Sean Young

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CRD#: 129052

CINCINNATI, OH

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".

CATAWBA RIVER CAPITAL

BOGGS FINANCIAL GROUP, INC. | R.P. BOGGS & CO. WEALTH MANAGEMENT | R.P. BOGGS & CO. | CATAWBA RIVER CAPITAL

CRD#: 134217 / SEC#: 801-113237

RIA

Registered Investment Advisory firm - (5/16/2018 Approved)

North Carolina

Registered Investment Advisory firm - (5/17/2018 Terminated)

South Carolina

Registered Investment Advisory firm - (5/17/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/20/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/17/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/22/2015

General Securities Representative Examination

Current Firm

CATAWBA RIVER CAPITAL

BOGGS FINANCIAL GROUP, INC. | R.P. BOGGS & CO. WEALTH MANAGEMENT | R.P. BOGGS & CO. | CATAWBA RIVER CAPITAL

CRD#: 134217 / SEC#: 801-113237

RIA

Registered Investment Advisory firm - (5/16/2018 Approved)

North Carolina

Registered Investment Advisory firm - (5/17/2018 Terminated)

South Carolina

Registered Investment Advisory firm - (5/17/2018 Terminated)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

4100 Charlotte Hwy., Lake Wylie, SC 29710

Mailing Address

Phone number

(803) 831-0911

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CATAWBA RIVER CAPITAL FORM ADV PART 2A - FEBRUARY 2026 (2/18/2026)

Regulatory assets under management

Total Number of Accounts	896
AUM (Assets Under Management)	$ 325,111,772

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.

Similar Advisors

Guy Peel

OSAIC WEALTH, INC.

IAR

HELENA, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

ESTERO, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

Why AdvisorCheck

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Sean M. Young

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CATAWBA RIVER CAPITAL

ANNEX WEALTH MANAGEMENT, LLC

MARINER WEALTH

JMG FINANCIAL GROUP LTD

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

Primary Firm SEC Registration

CATAWBA RIVER CAPITAL

State Registrations and Notice Filings

Exams

Series 66

Date: 7/20/2015

SIE

Date: 12/17/2015

Series 7

Date: 6/22/2015

Current Firm

CATAWBA RIVER CAPITAL

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CATAWBA RIVER CAPITAL

TRUST BUT VERIFY

Similar Advisors