Sean Gregory Spooner

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2024-02-14
NC	RA	APPROVED	2023-12-01

Branch Locations

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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Monroe	NC	07/2023	Present
Chick Fil A	Harrisburg	NC	01/2023	06/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Atlanta	GA	06/2022	08/2022
Safe Harbor Marinas	Cornelius	NC	05/2021	09/2021
Safe Harbor Marinas	Cornelius	NC	05/2020	09/2020
Morningstar Marinas	Cornelius	NC	01/2019	08/2019
Unemployed	N/A	XX	09/2022	12/2022
Unemployed	N/A	XX	10/2021	05/2022
Unemployed	N/A	XX	10/2020	04/2021
Unemployed	N/A	XX	09/2019	04/2020
Unemployed	N/A	XX	04/2010	12/2018
Bank Of America, N.A	Charlotte	NC	08/2023	Present

07/2023 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Monroe, NC
01/2023 → 06/2023

Chick Fil A

Harrisburg, NC
06/2022 → 08/2022

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Atlanta, GA
05/2021 → 09/2021

Safe Harbor Marinas

Cornelius, NC
05/2020 → 09/2020

Safe Harbor Marinas

Cornelius, NC
01/2019 → 08/2019

Morningstar Marinas

Cornelius, NC
09/2022 → 12/2022

Unemployed

N/A, XX
10/2021 → 05/2022

Unemployed

N/A, XX
10/2020 → 04/2021

Unemployed

N/A, XX
09/2019 → 04/2020

Unemployed

N/A, XX
04/2010 → 12/2018

Unemployed

N/A, XX
08/2023 → Present

Bank Of America, N.A

Charlotte, NC

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-11-30

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