Who is Sean Bricmont (CRD#: 4917927)
Sean Bricmont works as an advisor with First Republic Investment Management in San Francisco, California. Sean Bricmont has been employed for the past 12 years. First Republic Investment Management and First Republic Securities Company are their current employers. He has previously passed the Series 65 and Series 63 exams and is licensed to provide investment advice in California, Massachusetts, California, and Texas. Sean Bricmont may also give consulting services in other states where registration or notice filing is not required.
First Republic Investment Management is a financial advisory firm based in San Francisco, California. First Republic Investment Management has 720 advisors on its advisory team. The average advisor-to-client ratio is one advisor for every 41 clients, but advisors may deal with more or fewer customers depending on firm practices. The fees charged by financial advising businesses varied according to the services provided to each customer.
Financial planning services, portfolio management for individuals and/or small businesses, portfolio management for pooled investment vehicles (other than investment companies), portfolio management for businesses (other than small businesses), and portfolio management for institutional clients (other than registered investment companies and other pooled investment vehicles). Pension consulting services, other adviser selection, and educational seminars/workshops.
About FIRM: Wide Wealth Management Group
Morgan Stanley is a worldwide investment bank and financial services firm located in Midtown Manhattan, New York City, at 1585 Broadway. The firm’s clientele includes organizations, governments, institutions, and individuals, and it has offices in 41 countries and over 75,000 workers. Morgan Stanley was rated 61st on the 2021 Fortune 500 ranking of the top firms in the United States by total revenue.
The original Morgan Stanley was founded on September 16, 1935, by J.P. Morgan & Co. partners Henry Sturgis Morgan (a grandson of J.P. Morgan), Harold Stanley, and others in response to the Glass-Steagall Act, which required the separation of American commercial and investment banking businesses. The company had a 24% market share in public offerings and private placements in its first year.
In 1997, the original Morgan Stanley merged with Dean Witter Discover & Co. to form the present Morgan Stanley. Philip J. Purcell, the Chairman and CEO of Dean Witter, became the Chairman and CEO of the newly combined “Morgan Stanley Dean Witter Discover & Co.” In 2001, the new firm reverted to the name “Morgan Stanley.” Today, the firm’s major lines of business include institutional securities, wealth management, and investment management. The Financial Stability Board considers the bank to be systemically important.
What is SEC?
The Securities and Exchange Commission (SEC) in the United States is a federal government regulatory agency that works independently. Its main responsibility is to safeguard investors, ensure the securities markets operate in a fair and orderly manner, and facilitate capital formation.
Sean Bricmont Disclosures: BrokerCheck, FINRA, And SEC Reports
Financial Advisors often take down their client disputes from FINRA’s Public database through Disclosure Expungement. Even law firms provide expungement services to FAs so that they can hide or remove their client disputes and maintain a clean record. So the lack of any disclosures on BrokerCheck doesn’t necessarily mean that the broker hasn’t had any disputes in the past.
FINRA’s BrokerCheck
individual_4917927.pdf (finra.org)
SEC Litigations & Forms
Source: Sean Bricmont – SEC Site Search Search Results
Sean Bricmont Lawsuits, Legal Battles, & Disputes
There might be more pending lawsuits against Sean Bricmont that are not listed on these directories. Lawsuit files are often deleted from online directories. So if you cannot find any lawsuits against Sean Bricmont on these websites, you can contact the local authorities and check if they have a physical copy of any cases.
CourtListener
UniCourt
Law.com
Law360.com
Trellis. law
Justia
Sean Bricmont Complaints, Class Action Lawsuits & Legal Battles
The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against Sean Bricmont using the websites down below:
Sonn Law Group
SEC.gov
White Law Group
MDF Law
Israels & Neuman, PLC
Klayman Toskes
You can contact the law firms mentioned above if you are facing issues with Sean Bricmont or any financial advisor.
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