Sean Spafford, financial advisor Indianapolis IN
90 score

Sean Spafford

CRD Number: 6050516
Current Firm: Morgan Stanley

Sean Spafford (CRD# 6050516) is an Investment Advisor Representative working at Morgan Stanley in Indianapolis, IN and has over 4 years of experience in the finance industry.

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Company Name Location Dates Years
Morgan Stanley Indianapolis, IN Nov 2015 - Current 1
Morgan Stanley Private Bank, National Association New York, NY Nov 2015 - Current 1
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Nov 2015 < 1
Morgan Stanley Indianapolis, IN Jun 2012 - Nov 2015 3
Merrill Lynch, Pierce, Fenner, And Smith Indianapolis, IN Apr 2012 - Jun 2012 < 1
Unemployed Indianapolis, IN Jan 2012 - Apr 2012 < 1
Indiana University Bloomington, IN Aug 2011 - Dec 2011 < 1
Merrill Lynch, Pierce, Fenner, And Smith Indianapolis, IN Jun 2011 - Aug 2011 < 1
Unemployed Mccordsville, IN May 2011 - Jun 2011 < 1
Indiana University Bloomington, IN Aug 2010 - May 2011 < 1
Menendez-pelayo International University Barcelona, Jun 2010 - Aug 2010 < 1
Indiana University Bloomington, IN Aug 2009 - Jun 2010 < 1
Unemployed Mccordsville, IN May 2009 - Aug 2009 < 1
Indiana University Bloomington, IN Aug 2008 - May 2009 < 1
Marina Limited Partnership Fishers, IN May 2008 - Aug 2008 < 1
Southern Methodist University Dallas, TX Aug 2007 - May 2008 < 1
Park Tudor Maintenance Indianapolis, IN May 2007 - Aug 2007 < 1
Park Tudor High School Indianapolis, IN Aug 2006 - May 2007 < 1
Merrill Lynch, Pierce, Fenner, And Smith Carmel, IN May 2006 - Aug 2006 < 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Aug 2012
Contact Info for Sean K. Spafford
Phone Number: 914-225-5510
Registered State(s):
  • IN
By the Numbers
  • Total Assets Under Management
    535,890
    MILLIONS
  • Total Number of Accounts
    1,563,538
    ACCOUNTS
  • Average Account Value
    $342,742
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
90
Clean Record
This advisor has a clean track record with regulators.

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