Sean Lyman
SEQUOIA WEALTH MANAGEMENT
Chicago, IL 60607
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CRD#: 6196319
Professional summary
Sean Lyman, CFP®, CLU® is a registered financial advisor currently at SEQUOIA WEALTH MANAGEMENT, LLC located in Chicago, Illinois and LPL FINANCIAL LLC located in Barrington, Illinois.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Sean has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
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.
1. 6/27/2019 - Sequoia Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 04/01/2016 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Sequoia Wealth Management, an independent investment advisor firm. I started this business activity in 4/2016. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 2. 6/28/2019 - Sequoia Financial Network - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 06/23/2019 - 160 Hours Per Month During Securities Trading. 3. 09/23/2019 - Sequoia Financial Planning - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:09/19/2019 - 40 hrs/mo - 40 hrs during trading. 4. 8/11/2021 - No Business Name - At Reported Business Location(s) - Other-Notary of the State of IL - Start Date: 09/03/2020 - 1 Hour Per Month/1 Hour During Securities Trading - Notary Public.
CRS (Client Relationship Summary) - RIA
Click below to view Sean Lyman'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: 2016
Experience
Current
April 15, 2016 - Present
SEQUOIA WEALTH MANAGEMENT, LLC
Office #1: 1017 W. Washington, Suite 3h, Chicago, IL 60607RIA
CRD#: 170543
Chicago, IL
Current
July 26, 2013 - Present
LPL FINANCIAL LLC
Office #1: 200 Applebee St Ste 208, Barrington, IL 60010RIA
BD
CRD#: 6413
Barrington, IL
Past
January 5, 2017 - October 10, 2017
JMC WEALTH
RIA
CRD#: 140984
Chicago, IL
Past
September 19, 2013 - October 6, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
CHICAGO, 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".
SW
SEQUOIA WEALTH MANAGEMENT, LLC
ADVANTAGE FINANCIAL SERVICES GROUP | SEQUOIA WEALTH MANAGEMENT, LLC | SEQUOIA WEALTH MANAGEMENT | SEQUOIA FINANCIAL PLANNING | REGENCY WEALTH MANAGEMENT | PLANSMART FINANCIAL SERVICES | PEGASUS WEALTH STRATEGIES | ODE FINANCIAL SERVICES | MOONEY LYONS FINANCIAL SERVICES | MOONEY LYONS | JPV FINANCIAL | JMC WEALTH MANAGEMENT | IRONWOOD FAMILY WEALTH ADVISORS | DEB FINANCIAL | CPM FINANCIAL SERVICES | ANDERSON INVESTMENT CONSULTING & SERVICES | AMBASSADOR CONSULTING AND WEALTH MANAGEMENT
CRD#: 170543 / SEC#: 801-80362
RIA
Registered Investment Advisory firm - (10/1/2014 Approved)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
Florida(8/31/2016)
RR
Illinois(9/18/2013)
IAR
Illinois(4/15/2016)
RR
Kansas(2/10/2022)
RR
Louisiana(12/5/2016)
IAR
Louisiana(12/5/2016)
RR
Michigan(8/13/2020)
RR
North Carolina(9/8/2020)
RR
Tennessee(8/31/2023)
RR
Texas(3/10/2017)
RR
Wisconsin(1/17/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SW
SEQUOIA WEALTH MANAGEMENT, LLC
ADVANTAGE FINANCIAL SERVICES GROUP | SEQUOIA WEALTH MANAGEMENT, LLC | SEQUOIA WEALTH MANAGEMENT | SEQUOIA FINANCIAL PLANNING | REGENCY WEALTH MANAGEMENT | PLANSMART FINANCIAL SERVICES | PEGASUS WEALTH STRATEGIES | ODE FINANCIAL SERVICES | MOONEY LYONS FINANCIAL SERVICES | MOONEY LYONS | JPV FINANCIAL | JMC WEALTH MANAGEMENT | IRONWOOD FAMILY WEALTH ADVISORS | DEB FINANCIAL | CPM FINANCIAL SERVICES | ANDERSON INVESTMENT CONSULTING & SERVICES | AMBASSADOR CONSULTING AND WEALTH MANAGEMENT
CRD#: 170543 / SEC#: 801-80362
RIA
Registered Investment Advisory firm - (10/1/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
200 Applebee St Suite 208, Barrington, IL 60010
Mailing Address
Phone number
(847) 310-5900
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,698 |
| AUM (Assets Under Management) | $ 514,331,206 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
