Sean Philbin

ZACKS INVESTMENT MANAGEMENT

CHICAGO, IL 60606

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CRD#: 7377729

Professional summary

Sean Philbin, who also goes by Sean James Philbin, is a registered financial advisor currently at ZACKS INVESTMENT MANAGEMENT, INC. located in Chicago, Illinois.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Sean has worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sean James Philbin

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.

Rover; No; Seattle, WA; dog/cat sitting; Dog/Cat Sitter; 09/2024; 15hr; 0hr

Blog Corner

CRS (Client Relationship Summary) - RIA

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

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

October 27, 2025 - Present

ZACKS INVESTMENT MANAGEMENT, INC.

Office #1: 101 N. Wacker Drive Suite 1500, Chicago, IL 60606

RIA

CRD#: 110897

CHICAGO, IL

Past

September 16, 2024 - July 3, 2025

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ST. LOUIS, MO

Past

September 16, 2024 - July 3, 2025

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

December 15, 2023 - June 7, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

ST. LOUIS, MO

Past

August 10, 2023 - June 7, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

ST. LOUIS, MO

Past

August 1, 2023 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. LOUIS, MO

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".

ZACKS INVESTMENT MANAGEMENT, INC.

CRD#: 110897 / SEC#: 801-40592

RIA

Registered Investment Advisory firm - (1/17/1992 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

Illinois
(10/27/2025)

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: 11/22/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/1/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/18/2022

Securities Industry Essentials Examination

Current Firm

ZACKS INVESTMENT MANAGEMENT, INC.

CRD#: 110897 / SEC#: 801-40592

RIA

Registered Investment Advisory firm - (1/17/1992 Approved)

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Contact information

Main Address

101 N. Wacker Drive Suite 1500, Chicago, IL 60606

Mailing Address

Phone number

(312) 265-9266

Established

Firm type

Fiscal year end

# of Employees

122

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ZACKS ADV PART 2 & APPENDIX 1 05 2025 (5/29/2025)

Regulatory assets under management

Total Number of Accounts	12,050
AUM (Assets Under Management)	$ 12,414,372,511

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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Advisor Monitoring

Firm Stability Insights

Sean Philbin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

SECURIAN FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

ZACKS INVESTMENT MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/22/2023

Series 7TO

Date: 8/1/2023

SIE

Date: 10/18/2022

Current Firm

ZACKS INVESTMENT MANAGEMENT, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ZACKS INVESTMENT MANAGEMENT, INC.

TRUST BUT VERIFY

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