SW
Sean Winthrop
WINTHROP WEALTH
Denver, CO
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CRD#: 7531188
SW
Professional summary
Sean Winthrop, who also goes by Sean M Winthrop, Sean Michael Winthrop, is a registered financial advisor currently at WINTHROP WEALTH located in Denver, Colorado.
Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Sean has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sean M Winthrop | Sean Michael Winthrop
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.
1)09/16/2022 - Winthrop Wealth - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2)10/06/2022 - Winthrop Advisory Group LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Licensed Admin - Start Date - 09/2022 - 160 Hours Per Month/40 Hours During Securities Trading - I provide administrative support to Winthrop Advisory Group LLC, an independent investment advisor firm. I started this business activity in 08/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3)10/06/2022 - Winthrop Advisory Group LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Licensed Admin - Start Date - 09/2022 - 160 Hours Per Month/40 Hours During Securities Trading - I provide administrative support to Winthrop Advisory Group LLC, an independent investment advisor firm. I started this business activity in 08/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm�s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Sean Winthrop'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
April 6, 2023 - Present
WINTHROP WEALTH
Office #2: 1400 Computer Drive Suite 105, Westborough, MA 01581RIA
CRD#: 288178
Denver, CO
Past
October 19, 2022 - December 17, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
DENVER, CO
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".
WW
WINTHROP WEALTH
FINANCIAL PLANNING STRATEGIES, LLC | WINTHROP WEALTH MANAGEMENT | WINTHROP WEALTH | WINTHROP ADVISORY GROUP, LLC | UNIFIED WEALTH MANAGEMENT | KEEL FINANCIAL PARTNERS
CRD#: 288178 / SEC#: 801-110461
RIA
Registered Investment Advisory firm - (4/28/2017 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
Colorado(4/6/2023)
IAR
Massachusetts(4/19/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/19/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
WW
WINTHROP WEALTH
FINANCIAL PLANNING STRATEGIES, LLC | WINTHROP WEALTH MANAGEMENT | WINTHROP WEALTH | WINTHROP ADVISORY GROUP, LLC | UNIFIED WEALTH MANAGEMENT | KEEL FINANCIAL PARTNERS
CRD#: 288178 / SEC#: 801-110461
RIA
Registered Investment Advisory firm - (4/28/2017 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
321 Columbus Ave 3rd Fl, Boston, MA 02116-5168
Mailing Address
Phone number
(617) 530-1010
Established
Firm type
Fiscal year end
# of Employees
36
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,872 |
| AUM (Assets Under Management) | $ 2,600,886,145 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
