Sean Heslin, financial advisor Los Angeles CA
90 score

Sean Heslin

CRD Number: 1951422
Current Firm: Advice And Planning Services
Sean Heslin (CRD# 1951422) is an Investment Advisor Representative working at Tiaa-cref Advice And Planning Services in Los Angeles, CA and has over 26 years of experience in the finance industry.
CONTACT
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Company Name Location Dates Years
Tiaa Los Angeles, CA Jan 2014 - Current 2
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
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for Sean K. Heslin
Phone Number:
Firm Website: http://www.tiaa.org
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    16,792
    MILLIONS
  • Total Number of Accounts
    45,960
    ACCOUNTS
  • Average Account Value
    $365,356
Compensation Options
  • A percentage of assets under your management
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States

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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BADGES
90
Verified Page
Data verified by both the advisor and the public regulatory data.

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