Sean J. Forbes

NAVIGATE 401K

Birmingham, AL 35209

Some features on this profile are disabled

CRD#: 7881594

Professional summary

Sean Joseph Forbes is a registered financial advisor currently at NAVIGATE 401K, LLC located in Birmingham, Alabama.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Sean has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) INSURANCE AGENT- INVESTMENT RELATED- BIRMINGHAM, AL; INSURANCE SALES, AGENT, 2025, DEVOTES NOT MORE THAN 30% OF AGENTS TIME DURING WORKING HRS/MO DURING TRADING HOURS; SALE OF VARIOUS INSURANCE PRODUCTS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Joseph Forbes'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

May 1, 2025 - Present

NAVIGATE 401K, LLC

Office #1: One Independence Plaza Suite 816, Birmingham, AL 35209

RIA

CRD#: 309466

Birmingham, AL

Past

July 1, 2024 - April 25, 2025

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Montgomery, AL

Past

July 1, 2024 - April 25, 2025

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

June 3, 2024 - June 21, 2024

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Birmingham, AL

Past

May 2, 2024 - June 21, 2024

MML INVESTORS SERVICES, LLC

CRD#: 10409

Birmingham, AL

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".

NAVIGATE 401K, LLC

CRD#: 309466 / SEC#: 801-119101

RIA

Registered Investment Advisory firm - (7/21/2020 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

Alabama
(5/1/2025)

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: 5/20/2024

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/2/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/23/2024

Securities Industry Essentials Examination

Current Firm

NAVIGATE 401K, LLC

CRD#: 309466 / SEC#: 801-119101

RIA

Registered Investment Advisory firm - (7/21/2020 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

One Independence Plaza Suite 816, Birmingham, AL 35209

Mailing Address

Phone number

(205) 224-9502

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

N401K ADV PART 2A (10/6/2025)

Regulatory assets under management

Total Number of Accounts	73
AUM (Assets Under Management)	$ 258,930,541

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.

Similar Advisors

Martin Wheeler

OSAIC WEALTH, INC.

IAR

Birmingham, AL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Sean J. Forbes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

NAVIGATE 401K, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/20/2024

Series 7TO

Date: 5/2/2024

SIE

Date: 2/23/2024

Current Firm

NAVIGATE 401K, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NAVIGATE 401K, LLC

TRUST BUT VERIFY

Similar Advisors