Sean Christopher Gay

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 10/2004 → Present
  Blue Oak Financial Services
  Itasca, IL
• 09/2009 → 03/2020
  Ausdal Financial Partners, Inc.
  Davenport, IA
• 03/2020 → Present
  Lpl Financial, Llc
  Crystal Lake, IL

Previous Registrations

• 2009-09-04 → 2020-03-09
  Ausdal Financial Partners, Inc.
  Libertyville, IL
  Davenport, IA
  Downers Grove, IL
  Downers Grove, IL
  Downers Grove, IL
• 2001-05-14 → 2009-09-03
  Waterstone Financial Group, Inc.
  Itasca, IL
  Itasca, IL

Other Businesses

1. 09/01/2004 - BLUE OAK FINANCIAL SERVICES/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ CRYSTAL LAKE, IL 2. 03/09/2020 - PROFESSIONAL WEALTH ADVISORS/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ CRYSTAL LAKE, IL 3. 03/09/2020 - PWA/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ CRYSTAL LAKE, IL 4. 2/25/2021 - MSB Wealth - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/26/2021 - 20 Hours Per Month During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-11-13
• S63 Uniform Securities Agent State Law Examination
  1998-03-31

Other Names

• Sean Christopher Gay