SR
Sean P. Richardson
AWM CAPITAL
Pasadena, CA 91105
Some features on this profile are disabled
CRD#: 7958628
SR
Professional summary
Sean Philip Richardson, who also goes by Sean Phillip Richardson, is a registered financial advisor currently at AWM CAPITAL, LLC located in Pasadena, California.
Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Sean has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sean Phillip Richardson
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) - RIA
Click below to view Sean Philip Richardson'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
July 19, 2024 - Present
AWM CAPITAL, LLC
Office #1: 87 East Green Street Suite 206, Pasadena, CA 91105RIA
CRD#: 287980
Pasadena, CA
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".
AC
AWM CAPITAL, LLC
ATHLETE WEALTH MANAGEMENT | AWM CAPITAL, LLC | AWM CAPITAL TAX | AWM
CRD#: 287980 / SEC#: 801-114373
RIA
Registered Investment Advisory firm - (12/3/2018 Approved)Arizona
Registered Investment Advisory firm - (3/16/2020 Terminated)California
Registered Investment Advisory firm - (4/15/2020 Terminated)Florida
Registered Investment Advisory firm - (3/16/2020 Terminated)Louisiana
Registered Investment Advisory firm - (3/19/2020 Terminated)New Hampshire
Registered Investment Advisory firm - (3/27/2020 Terminated)North Carolina
Registered Investment Advisory firm - (4/2/2020 Terminated)Texas
Registered Investment Advisory firm - (3/16/2020 Terminated)Washington
Registered Investment Advisory firm - (5/1/2020 Terminated)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
California(7/19/2024)
IAR
Texas(7/19/2024)
Current Firm
AC
AWM CAPITAL, LLC
ATHLETE WEALTH MANAGEMENT | AWM CAPITAL, LLC | AWM CAPITAL TAX | AWM
CRD#: 287980 / SEC#: 801-114373
RIA
Registered Investment Advisory firm - (12/3/2018 Approved)Arizona
Registered Investment Advisory firm - (3/16/2020 Terminated)California
Registered Investment Advisory firm - (4/15/2020 Terminated)Florida
Registered Investment Advisory firm - (3/16/2020 Terminated)Louisiana
Registered Investment Advisory firm - (3/19/2020 Terminated)New Hampshire
Registered Investment Advisory firm - (3/27/2020 Terminated)North Carolina
Registered Investment Advisory firm - (4/2/2020 Terminated)Texas
Registered Investment Advisory firm - (3/16/2020 Terminated)Washington
Registered Investment Advisory firm - (5/1/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1 N. 1st Street Suite 525, Phoenix, AZ 85004
Mailing Address
5227 N 7th St Ste 18036, Phoenix, AZ 85014
Phone number
(323) 940-1339
Established
Firm type
Fiscal year end
# of Employees
27
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,586 |
| AUM (Assets Under Management) | $ 1,152,024,220 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/16/2024 | ||
| 04/15/2024 | ||
| 01/24/2023 |
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.
