Sean HeslinCRD Number: 1951422
Current Firm: Advice And Planning Services
Jst Investment Consulting
Fried Asset Management, Inc.
|Tiaa||Los Angeles, CA||Jan 2014 - Current||3|
|Unionbanc Investment Servcies||Palm Springs, CA||Sep 2012 - Dec 2013||1|
|Tiaa-cref||Pasadena, CA||Sep 2007 - Nov 2011||4|
|Wells Fargo Investments, LLC||Los Angeles, CA||Jul 2006 - Aug 2007||1|
|Unionbanc Investment Services, LLC||Los Angeles, CA||Aug 2004 - Jul 2006||1|
|Exam Code||Name||Passed Date|
|S7||General Securities Representative Examination (GS)||Jun 1989|
|S63||Uniform Securities State Law Examination||Jul 1989|
|S65||NASAA Investment Advisors Law Examination||Apr 1998|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management16,792MILLIONS
Total Number of Accounts45,960ACCOUNTS
Average Account Value$365,356
- A percentage of assets under your management
- Financial planning services
- Portfolio management for individuals and/or small businesses
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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