Sean Smith
Sean Smith is a registered investment advisor at RBC Capital Markets, LLC, based in Seattle, WA, with 28 years of industry experience. Sean operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Estate Planning, Investment Management, Retirement Planning. Their firm serves 283,910 clients with $310B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
RBC Financial Planning services are offered for a one-time fee, providing a personalized analysis and written advice to help you assess your financial situation and your ability to pursue specific financial goals. Fees are negotiated within a range of $1,000 to $20,000, but in certain cases a fee higher than $20,000 may be negotiated.
Location
401 Union Street, Suite 3600, Seattle, WA, 98101
Get directionsHistory
Regulatory History (2)
Customer Dispute
April 2007Customer Dispute
October 2002Other Business Activities
Sean is a 50% owner with his spouse of Everclean Northwest LLC, a non-investment related business, and spends a few hours per week as an investor and manager. He also owns two rental properties with his spouse, dedicating minimal time to each.
Employment History
Current Registrations
RBC Capital Markets, LLC
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
Previous Registrations
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Investments, LLC
Wells Fargo Investments, LLCBroker
Wamu Investments, INC.
Wamu Investments, INC.Broker
Wells Fargo Securities INC.Broker
State Registrations27 states
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.