Sean M. Sweet
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sean Michael Sweet, who also goes by Sean Sweet, was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2018. Sean had worked at 2 firms and has passed the SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2024 - October 14, 2024
CRESSET ASSET MANAGEMENT, LLC
November 26, 2018 - April 12, 2021
TRADESTATION SECURITIES, INC.
Primary Firm SEC Registration
CRESSET ASSET MANAGEMENT, LLC
CRD#: 288566 / SEC#: 801-110753
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CRESSET ASSET MANAGEMENT, LLC
CRD#: 288566 / SEC#: 801-110753
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 42,546 |
| AUM (Assets Under Management) | $ 71,864,303,961 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/10/2025 | ||
| 10/09/2024 | ||
| 11/20/2023 | ||
| 12/21/2022 |
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.
