Sean Stockman

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

• 03/2021 → 08/2021
  Pfs Investments Inc.
  Waukesha, WI
• 08/2020 → 08/2021
  Primerica Financial Services
  Waukesha, WI
• 12/2019 → 12/2020
  Fearing's Audio Video Security
  Brookfield, WI
• 12/2020 → 01/2024
  Corner Street Communications, Llc
  Waukesha, WI
• 10/2013 → 12/2019
  Baycom, Inc.
  Pewaukee, WI
• 08/2021 → 11/2025
  Mass Mutual Life Insurance Company
  Wauwatosa, WI
• 09/2021 → 11/2025
  Mml Investors Services, Llc
  Wauwatosa, WI
• 11/2025 → Present
  Lpl Financial Llc
  Wauwatosa, WI

Previous Registrations

• 2021-10-28 → 2025-11-06
  Mml Investors Services, Llc
  Wauwatosa, WI

Other Businesses

1) 10/23/2025 - Hugo Wealth Partners - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) 2) 07/15/2026 - Clearwater Medicare Planning LLC - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 05/17/2026 - 25 hours per month/ 15 hours during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2021-10-23
• S63 Uniform Securities Agent State Law Examination
  2021-03-30

Other Names

• Sean Lloyd Stockman