Sean Finley, financial advisor Madison WI
89 score

Sean Finley

CRD Number: 6075507
Current Firm: Morgan Stanley

Sean Finley (CRD# 6075507) is an Investment Advisor Representative working at Morgan Stanley in Madison, WI and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Current 1
Morgan Stanley Madison, WI Dec 2014 - Current 2
Morgan Stanley Chicago, IL Aug 2013 - Dec 2014 1
Unemployed Madison, WI May 2013 - Aug 2013 < 1
Student Madison, WI Aug 2003 - May 2013 9
Morgan Stanley Smith Barney LLC Madison, WI Jun 2012 - Jan 2013 < 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Nov 2013
Contact Info for Sean P. Finley
Phone Number: 914-225-5510
Registered State(s):
  • IL
  • UT
  • WI
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
89
Clean Record
This advisor has a clean track record with regulators.

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