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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

Sean Stephens

Advisor at ALLSTATE FINANCIAL ADVISORS, LLC

Bedford, TX

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Search this name across graphsid dfx:ria:35fda812-da14-55ad-2c29-8dedb2feadff

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Nov 10, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ALLSTATE FINANCIAL ADVISORS, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 28, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Aug 28, 2007
First registration: Nov 10, 2008
Dual registered: yes, broker-dealer
Other names: Sean Kendrick Stephens|Sean K Stephens|Sean Stephens
IAPD individual key: 5056254

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ALLSTATE FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Jan 2, 2026	n/a	yes	Bedford, TX	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Jun 23, 2022	Dec 4, 2025	no	Plano, TX\|FORT WORTH, TX\|Plano, TX\|Plano, TX\|Plano, TX\|FT. WORTH, TX\|FORT WORTH, TX	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Dec 16, 2020	Jun 3, 2022	no	Plano, TX\|Mansfield, TX\|Plano, TX	Previous registration
HORACE MANN INVESTORS, INC.	No RAUM reported	Jun 28, 2019	Feb 3, 2020	no	Arlington, TX\|SPRINGFIELD, IL\|Fort Worth, TX\|FORT WORTH, TX\|Fort Worth, TX\|FORT WORTH, TX	Previous registration
ALLSTATE FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Oct 12, 2015	Jun 30, 2017	no	Arlington, TX\|Arlington, TX	Previous registration
USAA FINANCIAL PLANNING SERVICES	Former SEC adviser	Aug 22, 2014	Jul 20, 2015	no	ADDISON, TX	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jun 5, 2009	Nov 22, 2010	no	DUNCANVILLE, TX	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Nov 10, 2008	Feb 25, 2009	no	FORT WORTH, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
J.P. MORGAN SECURITIES LLC	ALLSTATE FINANCIAL ADVISORS, LLC	Dec 4, 2025	Jan 2, 2026	29	Firm change	Wirehouse to ibd
PRUCO SECURITIES, LLC	J.P. MORGAN SECURITIES LLC	Jun 3, 2022	Jun 23, 2022	20	Firm change	Ibd to wirehouse
HORACE MANN INVESTORS, INC.	PRUCO SECURITIES, LLC	Feb 3, 2020	Dec 16, 2020	317	Firm change	Other
ALLSTATE FINANCIAL ADVISORS, LLC	HORACE MANN INVESTORS, INC.	Jun 30, 2017	Jun 28, 2019	728	Firm change after gap	Other
USAA FINANCIAL PLANNING SERVICES	ALLSTATE FINANCIAL ADVISORS, LLC	Jul 20, 2015	Oct 12, 2015	84	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	USAA FINANCIAL PLANNING SERVICES	Nov 22, 2010	Aug 22, 2014	1,369	Firm change after gap	Other
AMERIPRISE FINANCIAL SERVICES, LLC	CHASE INVESTMENT SERVICES CORP.	Feb 25, 2009	Jun 5, 2009	100	Firm change	Other

Relationships

Registered with (7)

→ ALLSTATE FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 12, 2015 to Jun 30, 2017factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Jun 23, 2022 to Dec 4, 2025factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Dec 16, 2020 to Jun 3, 2022factForm ADV
→ HORACE MANN INVESTORS, INC.Registered adviserregistration: previous registration
Jun 28, 2019 to Feb 3, 2020factForm ADV
→ USAA FINANCIAL PLANNING SERVICESRegistered adviserregistration: previous registration
Aug 22, 2014 to Jul 20, 2015factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jun 5, 2009 to Nov 22, 2010factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Nov 10, 2008 to Feb 25, 2009factForm ADV

Dated events

Occurred
Dec 4, 2025
Advisor changed firm
Sean Stephens left J.P. Morgan Securities Llc for Allstate Financial Advisors, Llc (registered 2026-01-02)
Form ADVobserved 5 days ago
Occurred
Jun 3, 2022
Advisor changed firm
Sean Stephens left Pruco Securities, Llc for J.P. Morgan Securities Llc (registered 2022-06-23)
Form ADVobserved 5 days ago