Sean Robert Poquette
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Sean Poquette
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
THE DALA GROUP, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
THE DALA GROUP, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
THE DALA GROUP, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
THE DALA GROUP, LLC
Years of Experience
2 years in the financial services industry
Current & Past Employments
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
THE DALA GROUP, LLC
Current Firm
EMERGENT PARTNERS | THE RETIREMENT NETWORK, LTD. | THE RETIREMENT NETWORK | LEELYN SMITH, LLC
Contact Information
Main Address
10 N. Third Street, Geneva, IL 60134Phone Number
(630) 232-8995# of Employees
38SEC notice filing (16 States and Territories)
Registered to provide investment advisory services in 16 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
1,659AUM (Assets Under Management)
$852,292,185Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
THE DALA GROUP, LLC
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.
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
THE DALA GROUP, LLC
Primary Firm SEC Registration
EMERGENT PARTNERS | THE RETIREMENT NETWORK, LTD. | THE RETIREMENT NETWORK | LEELYN SMITH, LLC
State Registrations and Notice Filings
(10/28/2024)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
THE DALA GROUP, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Sean Robert Poquette's CRS (Customer Relationship Summary).
Similar Advisors
J.P. MORGAN SECURITIES LLC
VERTEX PARTNERS
INDEPENDENT FINANCIAL GROUP, LLC
THE DALA GROUP, LLC
