Sean Michael Mullin

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

• 01/2016 → 02/2023
  Bancwest Investment Services, Inc
  Sacramento, CA
• 01/2016 → Present
  Bmo Bank Na
  Sacramento, CA
• 07/2023 → Present
  Lpl Financial Llc
  Sacramento, CA

Previous Registrations

• 2016-01-20 → 2023-07-19
  Bancwest Investment Services, Inc.
  Frisco, CO
  Fraser, CO
  Lakefield, MN
  Sacramento, CA
  Windom, MN
  Stockton, CA
  Minneapolis, MN
  Truckee, CA
  Evergreen, CO
  Sacramento, CA
  Ivanhoe, MN
  Hot Springs, SD
  Denver, CO
  Lemmon, SD
  Sacramento, CA
  Hughson, CA
  Breckenridge, CO
  Citrus Heights, CA
  Sacramento, CA
  Clifton, CO
  Grand Junction, CO
  Arvada, CO
  Golden, CO
  Folsom, CA
  Elbow Lake, MN
  Blaine, MN
  Spooner, WI
  Steamboat Springs, CO
  Marshall, MN
  Stockton, CA
  Tahoe City, CA
  Chico, CA
  Elk Grove, CA
  Fergus Falls, MN
  Lockeford, CA
  Salida, CO
  Minneota, MN
  Benson, MN
  Mt. Crested Butte, CO
  Conifer, CO
  Grand Junction, CO
  Northglenn, CO
  Silverthorne, CO
  Denver, CO
  Dickinson, ND
  Fruita, CO
  Napa, CA
  Sacramento, CA
  Woodland, CA
  Worthington, MN
  Stockton, CA
  Patterson, CA
  Craig, CO
  Crested Butte, CO
  Delta, CO
  Evergreen, CO
  Arvada, CO
  Littleton, CO
  Wheat Ridge, CO
  Denver, CO
  Louisville, CO
  Superior, CO
  Littleton, CO
  Kremmling, CO
  Littleton, CO
  Denver, CO
  Gunnison, CO
  Montrose, CO
  Morris, MN
  Mabel, MN
  Decorah, IA
  Wheaton, MN
  Paynesville, MN
  Little Falls, MN
  Beach, ND
  Oroville, CA
  Ceres, CA
  S. Lake Tahoe, CA
  Gridley, CA
  Napa, CA
  Kings Beach, CA
  Ramsey, MN
  Carmichael, CA
  Huron, SD
  Gettysburg, SD
  Sacramento, CA
  Corsica, SD
  Platte, SD
  Redfield, SD
  Sacramento, CA
  Walnut Creek, CA
  Ceres, CA
  The Dalles, OR
  San Ramon, CA
  Gridley, CA
  Oroville, CA
  Chico, CA
  S. Lake Tahoe, CA
  Kings Beach, CA
  Tahoe City, CA
  Truckee, CA
• 2009-10-23 → 2016-01-04
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Sacramento, CA
  Latham, NY
  Worcester, MA
  Providence, RI
  New York, NY
  Chico, CA
  Stockton, CA
• 2004-10-20 → 2009-10-23
  Banc Of America Investment Services, Inc.
  Latham, NY
  Worcester, MA
  Providence, RI
  Hartford, CT
  New York, NY
  Glen Rock, NJ
  Greenwich, CT
  New York, NY
• 2002-11-25 → 2004-10-20
  Quick & Reilly, Inc.
  New York, NY

Other Businesses

1. 06/30/2023 - BMO Bank NA - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Market Leader, SVP - Start Date 07/19/2023 - 160 Hours Per Month/ 8 Hours During Trading - Time Spent 100% 2. 05/23/2024 - BMO Investment Services - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3) 01/14/2025 - CSMJ Family LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date:01/02/2025 - 8 Hrs/Mth - 0 Hrs During Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-03-03
• S66 Uniform Combined State Law Examination
  1998-10-02