Sean Michael Knowles

Employer firm

Osaic Institutions, Inc. CRD 35371

$6.49B regulatory AUM 7 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Pension consulting
• Selection of other advisers
• Educational seminars
• SOLICITATION SERVICES FOR OTHER ADVISERS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2013 → 12/2016
  Wells Fargo Advisors Financial Network, Llc
  Brooklyn, NY
• 12/2016 → 08/2018
  Unemployed
  Brooklyn, NY
• 08/2018 → 05/2021
  American Trust Investment Serv
  Whiting, IN
• 05/2021 → 03/2023
  Unemployed
  Brooklyn, NY
• 03/2023 → 06/2023
  Cathay Securities Inc
  New York, NY
• 06/2023 → Present
  Infinex Investments, Inc.
  Meriden, CT
• 06/2023 → Present
  Amalgamated Bank
  New York, NY

Previous Registrations

• 2013-04-17 → 2016-12-01
  Wells Fargo Advisors Financial Network, Llc
  Brooklyn, NY
• 2007-02-07 → 2011-03-08
  Chase Investment Services Corp.
  Brooklyn, NY

Exams

• S65 Uniform Investment Adviser Law Examination
  2023-08-10
• S63 Uniform Securities Agent State Law Examination
  1997-04-08