Sean P. Rawlings

WEALTHBOUND ADVISORS

Paradise Valley, AZ

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CRD#: 7163559

Professional summary

Sean Patrick Rawlings, who also goes by Sean Rawlings, is a registered financial advisor currently at WEALTHBOUND ADVISORS located in Paradise Valley, Arizona.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Sean has worked at 2 firms and has passed the Series 66, Series 6TO, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sean Rawlings

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.

NAME: GIS BENEFITS INV REL: Y ADD: 422 WAUPONSEE STREET PO BOX 827 MORRIS IL 60450 NATURE: LIFE, DI,LTC, HEALTH AND FIXED ANNUITIES INSURANCE SALES POSITION: FINANCIAL ADVISOR START DATE: 12/15/2021 NO HRS/MO: 2 NO HRS/MO DUR TRADING: 2 DUTIES: USING GIS BENEFITS FOR GROUP BENEFITS BROKER (3) NAME: LIFE BROKERS INV REL: Y ADD: 2633 E INDIAN SCHOOL ROAD SUITE 410, PHOENIX AZ 85016 NATURE: LIFE, DI, LTC INSRUANCE SALES POSTION: BROKER START DATE: 12/20/2021 NO HRS/MO: 5 NO HRS/MO DUR TRADING: 0 DUTIES: USING LIFE BROKERS FOR OUTSIDE LIFE INSURANCE SALES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Patrick Rawlings'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®

None

Experience

Current

August 24, 2023 - Present

WEALTHBOUND ADVISORS

RIA

CRD#: 327860

Paradise Valley, AZ

Past

March 22, 2021 - August 18, 2023

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

SCOTTSDALE, AZ

Past

October 28, 2020 - August 18, 2023

MML INVESTORS SERVICES, LLC

CRD#: 10409

SCOTTSDALE, AZ

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

Arizona
(8/24/2023)

IAR

California
(11/26/2024)

IAR

Texas
(10/3/2024)

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

State Security Law Exam

IAR

Series 66

Date: 3/3/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7TO

Date: 10/28/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/25/2020

Securities Industry Essentials Examination

Current Firm

WEALTHBOUND ADVISORS

LEGACY PLANNING GROUP LLC | WEALTHBOUND ADVISORS

CRD#: 327860 / SEC#:

Arizona

Registered Investment Advisory firm - (8/24/2023 Approved)

California

Registered Investment Advisory firm - (11/26/2024 Approved)

Texas

Registered Investment Advisory firm - (9/23/2024 Conditional Restricted)

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Contact information

Main Address

Scottsdale, AZ

Mailing Address

Phone number

(949) 275-7062

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	66
AUM (Assets Under Management)	$ 2,100,000

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.

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Sean P. Rawlings

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Patrick Rawlings's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEALTHBOUND ADVISORS

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/3/2021

Series 6TO

Date: 1/2/2023

Series 7TO

Date: 10/28/2020

SIE

Date: 6/25/2020

Current Firm

WEALTHBOUND ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WEALTHBOUND ADVISORS

TRUST BUT VERIFY

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