Sean Fenerty

$10.9B regulatory AUM

Reported services (Item 5G)

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

34 Fountain Square Plaza Md 1090Xb, Cincinnati, OH 45263 • United States

Current Registrations

Authority	Category	Status	Date
SC	RA	APPROVED	2026-07-01
NC	RA	APPROVED	2023-10-12

Branch Locations

146 Harbison Blvd, Columbia, SC 29212 • United States

1625 East Woodlawn Rd, Charlotte, NC 28209 • United States

355 E. Woodlawn Road, Charlotte, NC 28217 • United States

915 Providence Road, Charlotte, NC 28207 • United States

7530 Pineville Matthews Rd, Charlotte, NC 28226 • United States

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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Charlotte	NC	04/2019	Present
Sonic Automotive	Charlotte	NC	09/2018	01/2019
Sandmeyer Steel Company	Philadelphia	PA	08/2010	09/2018
Queens University Of Charlotte	Charlotte	NC	05/2014	12/2018
Bank Of America, N.A.	Charlotte	NC	06/2019	Present
Fifth Third Bank	Charlotte	NC	10/2023	Present
Merrill Lynch	Charlotte	NC	04/2019	10/2023
Unemployed/Student	Fort Mill	SC	01/2019	04/2019
Sonic Automotive	Charlotte	NC	09/2018	01/2019
Sandmeyer Steel Co.	Philadelphia	PA	03/2013	09/2018
Fifth Third Securities	Charlotte	NC	10/2023	Present

04/2019 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charlotte, NC
09/2018 → 01/2019

Sonic Automotive

Charlotte, NC
08/2010 → 09/2018

Sandmeyer Steel Company

Philadelphia, PA
05/2014 → 12/2018

Queens University Of Charlotte

Charlotte, NC
06/2019 → Present

Bank Of America, N.A.

Charlotte, NC
10/2023 → Present

Fifth Third Bank

Charlotte, NC
04/2019 → 10/2023

Merrill Lynch

Charlotte, NC
01/2019 → 04/2019

Unemployed/Student

Fort Mill, SC
09/2018 → 01/2019

Sonic Automotive

Charlotte, NC
03/2013 → 09/2018

Sandmeyer Steel Co.

Philadelphia, PA
10/2023 → Present

Fifth Third Securities

Charlotte, NC

Code	Exam	Date
S66	Uniform Combined State Law Examination	2019-09-12