Sean C. Rourke

BMO NESBITT BURNS SECURITIES LTD.

EDMONTON, ALBERTA, T5J 0H3

Some features on this profile are disabled

CRD#: 6438106

Professional summary

Sean Curtis Rourke is a registered financial advisor currently at BMO NESBITT BURNS SECURITIES LTD. and BMO NESBITT BURNS SECURITIES LTD. .

Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Sean has worked at 2 firms and has passed the Series 63, SIE and Series 38 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Curtis Rourke's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 24, 2020 - Present

BMO NESBITT BURNS SECURITIES LTD.

Office #1: 10175 101 St Nw 19th Floor, Edmonton, Alberta, T5J 0H3

RIA

CRD#: 281337

EDMONTON, ALBERTA,

Current

April 8, 2015 - Present

BMO NESBITT BURNS SECURITIES LTD.

Office #1: 10175 101 St Nw 19th Floor, Edmonton, Alberta, T5J 0H3

CRD#: 44057

Edmonton, Alberta,

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".

BMO NESBITT BURNS SECURITIES LTD.

CRD#: 281337 / SEC#: 801-107176

RIA

Registered Investment Advisory firm - (2/9/2016 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.

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

Texas
(7/9/2018)

IAR

Texas
(6/24/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 5/19/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 38

Date: 4/8/2015

Canada Module of the General Securities Registered Representative (Without Options Questions)

SRO Registrations

FINRA

Current Firm

BMO NESBITT BURNS SECURITIES LTD.

CRD#: 281337 / SEC#: 801-107176

RIA

Registered Investment Advisory firm - (2/9/2016 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

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

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

Contact information

Main Address

1 First Canadian Place 41st Floor, Toronto, Ontario, M5X 1A1

Mailing Address

320 South Canal Street Floor 7, Chicago, IL 60606

Phone number

(416) 359-4000

Established

Firm type

Fiscal year end

# of Employees

277

SEC notice filing (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BMO NESBITT BURNS SECURITIES LTD FORM ADV PART 2A BROCHURE (1/29/2025)

Regulatory assets under management

Total Number of Accounts	1,097
AUM (Assets Under Management)	$ 932,018,173

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

Robert Becker

J. ALDEN ASSOCIATES, INC.

Doylestown, PA

Michael Conlon

WEALTH ADVISORS GROUP, LLC

IAR

Coralville, IA

Nolan Reynolds

EDELMAN FINANCIAL ENGINES

IAR

COLUMBUS, OH

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Sean C. Rourke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Curtis Rourke's CRS (Customer Relationship Summary).

Certified licenses

Experience

BMO NESBITT BURNS SECURITIES LTD.

BMO NESBITT BURNS SECURITIES LTD.

Primary Firm SEC Registration

BMO NESBITT BURNS SECURITIES LTD.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/19/2015

SIE

Date: 10/1/2018

Series 38

Date: 4/8/2015

FINRA

Current Firm

BMO NESBITT BURNS SECURITIES LTD.

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BMO NESBITT BURNS SECURITIES LTD.

TRUST BUT VERIFY

Similar Advisors