SL
Sean Le
SECURIAN FINANCIAL SERVICES
St Paul, MN 55101
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CRD#: 7449257
SL
Professional summary
Sean Le, who also goes by Sean T Le, is a registered financial professional currently at SECURIAN FINANCIAL SERVICES, INC. located in St Paul, Minnesota.
Sean is registered as a RR (Registered Representative) and started their career in finance in 2024. Sean has worked at 1 firm and has passed the Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Sean T Le
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Sean Le'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®
NoneExperience
Current
May 16, 2024 - Present
SECURIAN FINANCIAL SERVICES, INC.
Office #1: 400 Robert Street North, St Paul, MN 55101BD
CRD#: 15296
St Paul, MN
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Minnesota(6/28/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 5/16/2024
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SECURIAN FINANCIAL SERVICES, INC.
ASCEND FINANCIAL SERVICES, INC. | SECURIAN FINANCIAL SERVICES, INC. | MIMLIC SALES CORPORATION
CRD#: 15296 / SEC#: 801-45152, 8-31955
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
400 Robert Street North, St Paul, MN 55101-2098
Mailing Address
400 Robert Street North, St. Paul, MN 55101-2098
Phone number
(651) 665-1233
Established
Minnesota since 03/27/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
1,750
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
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
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296St Paul, MN 55101TRUST BUT VERIFY
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