SD
Sean M. Dowling
THE DOWLING GROUP WEALTH MANAGEMENT
Greenwich, CT 06878
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CRD#: 5746392
SD
Professional summary
Sean Michael Dowling, CFP® is a registered financial advisor currently at THE DOWLING GROUP WEALTH MANAGEMENT located in Greenwich, Connecticut.
Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Sean has worked at 2 firms .
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.
SEAN M. DOWLING HAS BEEN LICENSED AS AN INDEPENDENT INSURANCE AGENT IN NEW YORK STATE SINCE JANUARY 26, 2011. MR. DOWLING, WHO HAS BEEN LICENSED AS AN INSURANCE PRODUCER IN CONNECTICUT SINCE DECEMBER 2010, HAS ALSO FORMED DOWLING FINANCIAL GROUP, LLC ("DFG"), A CONNECTICUT LIMITED LIABILITY COMPANY FORMED IN 2013, WHICH IS A LICENSED INSURANCE AGENCY IN CONNECTICUT. MR. DOWLING IS THE SOLE MEMBER OF DFG. THESE ACTIVITIES ARE NOT INVESTMENT-RELATED. THE INSURANCE ACTIVITIES OF MR. DOWLING AND DFG INVOLVE A VERY SMALL PART OF MR. DOWLING'S WORK HOURS - APPROXIMATELY 2 HOURS PER MONTH. THE INSURANCE BUSINESSES ARE LOCATED AT 1171 E. PUTNAM AVENUE, #1B, GREENWICH, CONNECTICUT.
SEAN M. DOWLING IS ALSO A REAL ESTATE BROKER AND IS LICENSED AS A MORTGAGE BROKER. MR. DOWLING HAS BEEN LICENSED IN THESE AREAS SINCE JANUARY 25, 2007 AND DECEMBER 9, 2011, RESPECTIVELY. HE PERFORMS THE REAL ESTATE SERVICES FROM HIS OFFICE AT 1171 E. PUTNAM AVENUE, GREENWICH, CONNECTICUT. HE PERFORMS THESE SERVICES APPROXIMATELY TWO HOURS PER MONTH. THESE ACTIVITIES ARE NOT INVESTMENT-RELATED.
MR. DOWLING RECENTLY FORMED DOWLING HOUSE I, LLC WITH A PARTNER. MR. DOWLING AND HIS PARTNER ARE THE ONLY MEMBERS OF THE COMPANY. THE COMPANY WAS FORMED TO HOLD REAL ESTATE THAT ALL OF MR. DOWLING'S BUSINESSES USE AS OFFICES. MR. DOWLING EXPECTS TO SPEND NO MORE THAN 4 HOURS PER MONTH MANAGING THE COMPANY. THE COMPANY IS LOCATED AT 1171 E. PUTNAM AVENUE, #1B,GREENWICH, CONNECTICUT.
IN JANUARY OF 2017 MR. DOWLING PURCHASED DOWLING TAX GROUP, LLC, A TAX PREPARATION AND CONSULTANCY FIRM FORMALLY KNOWN AS JOSEPH M. DOWLING, CPA, FROM HIS FATHER, JOSEPH M. DOWLING. MR. DOWLING SPENDS APPROXIMATELY 40 HOURS PER MONTH ON THIS BUSINESS.
CRS (Client Relationship Summary) - RIA
Click below to view Sean Michael Dowling'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®
CFP®
Start date: 2008
Experience
Current
January 7, 2019 - Present
THE DOWLING GROUP WEALTH MANAGEMENT
Office #1: 1171 E. Putnam Avenue, #1b, Greenwich, CT 06878RIA
CRD#: 155624
Greenwich, CT
Past
January 4, 2011 - December 31, 2018
THE DOWLING GROUP WEALTH MANAGEMENT
RIA
CRD#: 155624
RIVERSIDE, CT
Past
January 6, 2010 - January 24, 2011
THE DOWLING GROUP, FINANCIAL COUNSELLORS
RIA
CRD#: 126056
STAMFORD, CT
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".
TD
THE DOWLING GROUP WEALTH MANAGEMENT
DFS | THE DOWLING GROUP WEALTH MANAGEMENT | THE DOWLING GROUP | DOWLING FINANCIAL SERVICES, INC
CRD#: 155624 / SEC#: 801-130694
RIA
Registered Investment Advisory firm - (7/23/2024 Approved)Connecticut
Registered Investment Advisory firm - (9/17/2024 Terminated)New York
Registered Investment Advisory firm - (8/27/2024 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
Connecticut(1/7/2019)
IAR
New York(12/10/2021)
Exams
Current Firm
TD
THE DOWLING GROUP WEALTH MANAGEMENT
DFS | THE DOWLING GROUP WEALTH MANAGEMENT | THE DOWLING GROUP | DOWLING FINANCIAL SERVICES, INC
CRD#: 155624 / SEC#: 801-130694
RIA
Registered Investment Advisory firm - (7/23/2024 Approved)Connecticut
Registered Investment Advisory firm - (9/17/2024 Terminated)New York
Registered Investment Advisory firm - (8/27/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1171 E. Putnam Avenue, #1b, Greenwich, CT 06878
Mailing Address
Phone number
(203) 967-2231
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 165,628,233 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/17/2025 | ||
| 09/03/2024 | ||
| 03/06/2024 | ||
| 12/12/2023 |
Red Flags
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