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Sean Patrick Finley

U.S. Bancorp Advisors, LLC

Batavia, OH

Mount Orab, OH

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Current Employers
U.S. Bancorp Advisors, Llc

60 Livingston Ave Ep-Mn-N2Wc, Saint Paul, MN 55107 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2026-02-13
TX RA APPROVED_RES 2026-02-13
  • OH RA
    APPROVED
    Since 2026-02-13
  • TX RA
    APPROVED_RES
    Since 2026-02-13

Branch Locations

968 Old State Route 74, Batavia, OH 45103 • United States

210 Sterling Run Blvd, Mount Orab, OH 45154 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fidelity Brokerage Services Llc Covington KY 02/2012 09/2023
Fidelity Personal And Workplace Advisors Boston MA 07/2018 09/2023
U.S. Bancorp Investments, Inc. Batavia OH 09/2023 02/2026
U.S. Bancorp Advisors, Llc Batavia OH 02/2026 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-04-08
S63 Uniform Securities Agent State Law Examination 2012-05-18
  • S66 Uniform Combined State Law Examination
    2013-04-08
  • S63 Uniform Securities Agent State Law Examination
    2012-05-18
Other Names
  • Sean Finley

View on SEC IAPD

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