Sean C Gillespie
Professional Summary
Sean C Gillespie is a registered financial advisor currently at APFORIA located in Virginia Beach, Virginia. Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Sean has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
NYLIFE SECURITIES LLC
LPL FINANCIAL LLC
SANCTUARY ADVISORS, LLC
REDWOOD PRIVATE WEALTH
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
NYLIFE SECURITIES LLC
LPL FINANCIAL LLC
SANCTUARY ADVISORS, LLC
REDWOOD PRIVATE WEALTH
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
NYLIFE SECURITIES LLC
LPL FINANCIAL LLC
SANCTUARY ADVISORS, LLC
REDWOOD PRIVATE WEALTH
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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
NYLIFE SECURITIES LLC
LPL FINANCIAL LLC
SANCTUARY ADVISORS, LLC
REDWOOD PRIVATE WEALTH
Years of Experience
13 years in the financial services industry
Current & Past Employments
Current
Past
Similar Advisors
NYLIFE SECURITIES LLC
LPL FINANCIAL LLC
SANCTUARY ADVISORS, LLC
REDWOOD PRIVATE WEALTH
Current Firm
AHEAD FULL WEALTH MANAGEMENT | REDEPLOYMENT WEALTH STRATEGIES | NEXT MISSION FINANCIAL PLANNING | INSTAR FINANCIAL PLANNING | CLEAR INSIGHT WEALTH MANAGEMENT | CLEAR INSIGHT FINANCIAL PLANNING | APFORIA LTD | APFORIA | ALWAYS READY FINANCIAL PLANNING
Contact Information
Main Address
240 Mustang Trail Ste 10, Virginia Beach, VA 23452Phone Number
(757) 752-8055# of Employees
19SEC notice filing (20 States and Territories)
Registered to provide investment advisory services in 20 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,228AUM (Assets Under Management)
$101,914,296Similar Advisors
NYLIFE SECURITIES LLC
LPL FINANCIAL LLC
SANCTUARY ADVISORS, LLC
REDWOOD PRIVATE WEALTH
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
NYLIFE SECURITIES LLC
LPL FINANCIAL LLC
SANCTUARY ADVISORS, LLC
REDWOOD PRIVATE WEALTH
Primary Firm SEC Registration
AHEAD FULL WEALTH MANAGEMENT | REDEPLOYMENT WEALTH STRATEGIES | NEXT MISSION FINANCIAL PLANNING | INSTAR FINANCIAL PLANNING | CLEAR INSIGHT WEALTH MANAGEMENT | CLEAR INSIGHT FINANCIAL PLANNING | APFORIA LTD | APFORIA | ALWAYS READY FINANCIAL PLANNING
State Registrations and Notice Filings
(9/19/2023)
(9/27/2023)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
NYLIFE SECURITIES LLC
LPL FINANCIAL LLC
SANCTUARY ADVISORS, LLC
REDWOOD PRIVATE WEALTH
CRS (Client Relationship Summary) - RIA
Click below to view Sean C Gillespie's CRS (Customer Relationship Summary).
Similar Advisors
NYLIFE SECURITIES LLC
LPL FINANCIAL LLC
SANCTUARY ADVISORS, LLC
REDWOOD PRIVATE WEALTH
