Sean T Prendergast
Professional Summary
Sean T Prendergast, who also goes by Sean Timothy Prendergast, is a registered financial advisor currently at MPS-LORIA FINANCIAL PLANNERS,LLC located in Burr Ridge, Illinois. Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Sean has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Sean Timothy Prendergast
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
J.P. MORGAN SECURITIES LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
J.P. MORGAN SECURITIES LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
J.P. MORGAN SECURITIES LLC
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
AMERIPRISE FINANCIAL SERVICES, LLC
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
J.P. MORGAN SECURITIES LLC
Years of Experience
10 years in the financial services industry
Current & Past Employments
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
J.P. MORGAN SECURITIES LLC
Current Firm
BRIDGEVIEW WEALTH MANAGEMENT | MPS-LORIA FINANCIAL PLANNERS,LLC | MPS LORIA INSURANCE SOLUTIONS | LORIA FINANCIAL PLANNERS
Contact Information
Main Address
7500 South County Line Road, Burr Ridge, IL 60527-6955Phone Number
(630) 887-4404# of Employees
7SEC notice filing (11 States and Territories)
Registered to provide investment advisory services in 11 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,670AUM (Assets Under Management)
$826,570,486Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
J.P. MORGAN SECURITIES LLC
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.
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
BRIDGEVIEW WEALTH MANAGEMENT | MPS-LORIA FINANCIAL PLANNERS,LLC | MPS LORIA INSURANCE SOLUTIONS | LORIA FINANCIAL PLANNERS
State Registrations and Notice Filings
(9/28/2026)
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.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 2016About the Series 6 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Apr 2022About the Series 9 examSimilar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
J.P. MORGAN SECURITIES LLC
CRS (Client Relationship Summary) - RIA
Click below to view Sean T Prendergast's CRS (Customer Relationship Summary).
Similar Advisors
AMERIPRISE FINANCIAL SERVICES, LLC
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
J.P. MORGAN SECURITIES LLC
