Sean R. Poquette

LEELYN SMITH

Geneva, IL 60134

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CRD#: 7787621

Professional summary

Sean Robert Poquette, who also goes by Sean Poquette, is a registered financial advisor currently at LEELYN SMITH, LLC located in Geneva, Illinois and LPL FINANCIAL LLC located in Geneva, Illinois.

Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. 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 Poquette

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) Leelyn Smith - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 08/2023 - 160 Hr/Mth 2) Notary - State of IL - Inv Rel - Start: 03/2010

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Robert Poquette'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

February 5, 2025 - Present

LEELYN SMITH, LLC

Office #1: 10 N. Third Street, Geneva, IL 60134

RIA

CRD#: 110517

Geneva, IL

Current

August 1, 2024 - Present

LPL FINANCIAL LLC

Office #1: 10 N. Third Street, Geneva, IL 60134

RIA

CRD#: 6413

Geneva, IL

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".

LEELYN SMITH, LLC

EMERGENT PARTNERS | THE RETIREMENT NETWORK, LTD. | THE RETIREMENT NETWORK | LEELYN SMITH, LLC

CRD#: 110517 / SEC#: 801-113460

RIA

Registered Investment Advisory firm - (6/14/2018 Approved)

Illinois

Registered Investment Advisory firm - (6/19/2018 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2002 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Illinois
(10/28/2024)

IAR

Illinois
(2/5/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/9/2024

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/1/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/8/2024

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

LEELYN SMITH, LLC

EMERGENT PARTNERS | THE RETIREMENT NETWORK, LTD. | THE RETIREMENT NETWORK | LEELYN SMITH, LLC

CRD#: 110517 / SEC#: 801-113460

RIA

Registered Investment Advisory firm - (6/14/2018 Approved)

Illinois

Registered Investment Advisory firm - (6/19/2018 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2002 Terminated)

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Contact information

Main Address

10 N. Third Street, Geneva, IL 60134

Mailing Address

Phone number

(630) 232-8995

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LEELYN SMITH, LLC FORM ADV PART 2A, APPENDIX 1 WRAP FEE BROCHURE (3/26/2025)

LEELYN SMITH, LLC FORM ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	1,539
AUM (Assets Under Management)	$ 722,181,779

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 R. Poquette

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

LEELYN SMITH, LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

LEELYN SMITH, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/9/2024

Series 7TO

Date: 8/1/2024

SIE

Date: 1/8/2024

FINRA

Current Firm

LEELYN SMITH, LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEELYN SMITH, LLC

TRUST BUT VERIFY

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