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Current Employers
Sei Investments Management Corp

One Freedom Valley Drive, Oaks, PA 19456 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-11-16
PA RA APPROVED 2023-11-15
  • TX RA
    APPROVED
    Since 2023-11-16
  • PA RA
    APPROVED
    Since 2023-11-15

Branch Locations

New Braunfels, TX • United States

One Freedom Valley Drive, Oaks, PA 19456 • 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
Invesco Houston TX 02/2015 03/2017
American Funds Carmel IN 04/2017 04/2020
American Funds Carmel IN 04/2020 01/2021
American Funds San Antonio TX 01/2021 10/2023
Sei Investments Oaks PA 10/2023 Present
  • 02/2015 → 03/2017
    Invesco
    Houston, TX
  • 04/2017 → 04/2020
    American Funds
    Carmel, IN
  • 04/2020 → 01/2021
    American Funds
    Carmel, IN
  • 01/2021 → 10/2023
    American Funds
    San Antonio, TX
  • 10/2023 → Present
    Sei Investments
    Oaks, PA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-06-30
S63 Uniform Securities Agent State Law Examination 2017-05-23
  • S65 Uniform Investment Adviser Law Examination
    2018-06-30
  • S63 Uniform Securities Agent State Law Examination
    2017-05-23

View on SEC IAPD

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