SL
Sean Lacey
WAVERLY ADVISORS
COLORADO SPRINGS, CO 80905
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CRD#: 6914917
SL
Professional summary
Sean Lacey, CFP®, who also goes by Sean C Lacey, Sean Christopher Lacey, is a registered financial advisor currently at WAVERLY ADVISORS, LLC located in Colorado Springs, Colorado.
Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Sean has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sean C Lacey | Sean Christopher Lacey
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) WYZANT.COM, VarsityTutors.com; NOT INVESTMENT RELATED; COLORADO SPRINGS,CO; ONLINE TUTORING; TUTOR; 4/13/2021; 15 HOURS PER MONTH, 0 DURING TRADING; ONLINE TUTORING FOR 6 63 66 7 EXAMS (2) Redcon1; redcon1.com; 4/3/2023; Brand Affiliate; Promote sports nutrition products; Non-Investment Related; 2 hours during the month; 0 during trading
CRS (Client Relationship Summary) - RIA
Click below to view Sean Lacey'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®
Experience
Current
August 6, 2024 - Present
WAVERLY ADVISORS, LLC
Office #1: 980 Pico Point, Colorado Springs, CO 80905RIA
CRD#: 115332
COLORADO SPRINGS, CO
Past
June 10, 2022 - July 31, 2024
T. ROWE PRICE ADVISORY SERVICES, INC.
RIA
CRD#: 108958
Colorado Springs, CO
Past
June 10, 2022 - July 31, 2024
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
COLORADO SPRINGS, CO
Past
February 1, 2022 - May 18, 2022
EMPOWER ADVISORY GROUP, LLC
RIA
CRD#: 112058
Colorado Springs, CO
Past
February 1, 2022 - May 18, 2022
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past
April 22, 2019 - January 25, 2022
T. ROWE PRICE ADVISORY SERVICES, INC.
RIA
CRD#: 108958
COLORADO SPRINGS, CO
Past
March 18, 2019 - January 25, 2022
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
COLORADO SPRINGS, CO
Past
June 5, 2018 - March 8, 2019
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
ARCADIA, CA
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".
WA
WAVERLY ADVISORS, LLC
401K COMPLETE | WAVERLY ADVISORS, LLC | WARREN, AVERETT, KIMBROUGH AND MARINO WEALTH MANAGEMENT, LLC | WARREN AVERETT WILSON PRICE WEALTH MANAGEMENT | WARREN AVERETT WEALTH MANAGEMENT | WARREN AVERETT O'SULLIVAN CREEL WEALTH MANAGEMENT | WARREN AVERETT KIMBROUGH & MARINO WEALTH MANAGEMENT | WARREN AVERETT INSTITUTIONAL CONSULTING | WARREN AVERETT FAMILY OFFICE | WARREN AVERETT ASSET MANAGEMENT, LLC | WAKM FINANCIAL ADVISORS, LLC | WA ASSET MANAGEMENT, LLC | MCSHANE PARTNERS
CRD#: 115332 / SEC#: 801-60741
RIA
Registered Investment Advisory firm - (11/30/2001 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.Highlighted states indicate IAR registrations
IAR
Colorado(8/6/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/3/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
WA
WAVERLY ADVISORS, LLC
401K COMPLETE | WAVERLY ADVISORS, LLC | WARREN, AVERETT, KIMBROUGH AND MARINO WEALTH MANAGEMENT, LLC | WARREN AVERETT WILSON PRICE WEALTH MANAGEMENT | WARREN AVERETT WEALTH MANAGEMENT | WARREN AVERETT O'SULLIVAN CREEL WEALTH MANAGEMENT | WARREN AVERETT KIMBROUGH & MARINO WEALTH MANAGEMENT | WARREN AVERETT INSTITUTIONAL CONSULTING | WARREN AVERETT FAMILY OFFICE | WARREN AVERETT ASSET MANAGEMENT, LLC | WAKM FINANCIAL ADVISORS, LLC | WA ASSET MANAGEMENT, LLC | MCSHANE PARTNERS
CRD#: 115332 / SEC#: 801-60741
RIA
Registered Investment Advisory firm - (11/30/2001 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
600 University Park Place Suite 501, Birmingham, AL 35209
Mailing Address
Phone number
(205) 871-3334
Established
Firm type
Fiscal year end
# of Employees
371
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 34,313 |
| AUM (Assets Under Management) | $ 28,263,743,199 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/27/2025 | ||
| 02/16/2024 | ||
| 06/15/2023 |
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.
Company Information
WAVERLY ADVISORS, LLC
CRD#: 115332Colorado Springs, CO 80905TRUST BUT VERIFY
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