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Sean Knowles
17 Years of Experience
New York, NY
2 DisclosuresBroker
Sean Knowles is a registered investment advisor at Osaic Institutions, INC., based in New York, NY, with 17 years of industry experience. Sean is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 9 more. Their firm serves 16,312 clients with $6.5B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
570 advisors
Number of Clients
16,312 clients
Average Client Portfolio
$398K average
Assets Under Management
$6.5B
Fee Structure
Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
Maximum advisory fee is generally 2.50% and is negotiable between the advisor and client.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
470 Park Avenue South, New York, NY, 10016
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
February 2011Customer Dispute
February 2009Settled
Employment History
Current Registrations
Osaic Institutions, INC.
August 2023 - Present · 3 yrs 2 mos
Osaic Institutions, INC.Broker
June 2023 - Present · 3 yrs 4 mos
Previous Registrations
Cathay Securities, INC.Broker
March 2023 - May 2023 · 2 mos
American Trust Investment Services, INC.Broker
August 2018 - April 2021 · 2 yrs 8 mos
Wells Fargo Advisors Financial Network, LLC
April 2013 - December 2016 · 3 yrs 8 mos
Wells Fargo Advisors Financial Network, LLCBroker
March 2013 - December 2016 · 3 yrs 9 mos
Chase Investment Services CORP.
February 2007 - March 2011 · 4 yrs 1 mo
Chase Investment Services CORP.Broker
July 2006 - March 2011 · 4 yrs 8 mos
Gunnallen Financial, INCBroker
October 2004 - January 2005 · 3 mos
J.P. Turner & Company, L.L.C.Broker
August 2004 - September 2004 · 1 mo
Bernard Herold & CO., INC.Broker
October 2001 - September 2002 · 11 mos
Bear, Stearns & CO. INC.Broker
February 2001 - June 2001 · 4 mos
Jwgenesis Securities, INC.Broker
January 2000 - May 2000 · 4 mos
Gsg Securities, INC.Broker
May 1999 - December 1999 · 7 mos
The Golden, Lender Financial Group, INC.Broker
November 1998 - November 1998 · 0 mos
First Providence Financial Group, INC.Broker
July 1997 - September 1997 · 2 mos
Maidstone Financial, INC.Broker
May 1997 - July 1997 · 2 mos
D.L. Cromwell Investments, INC.Broker
April 1997 - May 1997 · 1 mo
State Registrations16 states
AKCADCDEFLGAIDILMDNCNJNYPAVAVTWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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