Sean Michael Steele, who also goes by Sean M Steele, Sean Steele, is a registered financial professional at VOYA FINANCIAL PARTNERS, LLC located in Windsor, Connecticut.
Sean is registered as a RR (Registered Representative) and started their career in finance in 2018. Sean has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Before working with a financial advisor, it is imperative to see whether or not they have any disclosures and if they do, whether or not you are comfortable with the disclosures that are on their record.
Disclosures in the financial services industry fall under the following categories: criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments.
Please watch the video below to get a better understanding of what disclosures are and what they look like, then click the button underneath that to get immediate access to see whether or not this financial advisor has any disclosures.
EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355 NAME OF BUSINESS: Love our Furry Friends Shopify Pet Store NON-INVESTMENT RELATED: ADDRESS: Tempe, AZ NATURE OF BUSINESS: Dog products POSITION: Owner START DATE: 8/2021 APPROX. HOURS/MONTH: 5 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: General business NAME OF BUSINESS: RENTAL PROPERTY INVESTMENT-RELATED: ADDRESS: Mesa, AZ POSITION: LANDLORD/OWNER START DATE: 10/2021 APPROXIMATE HOURS/MONTH: 2 HOURS DEVOTED DURING TRADING HOURS: 0
STATE SECURITY LAW EXAM ()
GENERAL INDUSTRY/PRODUCTS EXAM ()
PRINCIPAL/SUPERVISORY EXAM ()
STATE REGISTRATIONS (4)
SRO REGISTRATIONS (1)
Some financial advisors may work at more than one firm. Click the employer below (current or previous) to view their data
VOYA FINANCIAL PARTNERS, LLC (#34815)
One Orange Way, Windsor, CT, 06095
6/17/2022 - Current
PREVIOUS EMPLOYERS (3)
VANGUARD ADVISERS, INC. (#106715)
10/13/2021 - 5/20/2022
VANGUARD MARKETING CORPORATION (#7452)
7/30/2021 - 5/20/2022
AIG CAPITAL SERVICES, INC. (#13158)
8/28/2018 - 7/30/2020
Woodland Hills, CA
Sean Michael Steele
Experience: 5 years / 4 firms
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Disclosures range from criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments. Access disclosures with a free AdvisorCheck membership.
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