Sean David Navage

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2018-08-03

AZ RA
APPROVED

Since 2018-08-03

Branch Locations

8601 N Scottsdale Rd Ste 150 [Tl-Rbo], Scottsdale, AZ 85253 • United States

23405 N Scottsdale Rd, Scottsdale, AZ 85255 • United States

34502 N Scottsdale Rd, Scottsdale, AZ 85266 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Bmo Harris Financial Advisors, Inc.	Chandler	AZ	08/2012	08/2018
Wells Fargo Clearing Services, Llc	Scottsdale	AZ	08/2018	Present

08/2012 → 08/2018

Bmo Harris Financial Advisors, Inc.

Chandler, AZ
08/2018 → Present

Wells Fargo Clearing Services, Llc

Scottsdale, AZ

Previous Registrations

2012-08-01 → 2018-08-06

Bmo Harris Financial Advisors, Inc.

Chandler, AZ

Phoenix, AZ
2012-06-22 → 2012-08-01

M&I Financial Advisors, Inc

Chandler, AZ

Tempe, AZ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2012-06-21
S63	Uniform Securities Agent State Law Examination	2006-04-20

S65 Uniform Investment Adviser Law Examination

2012-06-21
S63 Uniform Securities Agent State Law Examination

2006-04-20

Other Names

Sean D Navage

View on SEC IAPD