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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)10 years in industry

SEAN ANTHONY STAMPER

Advisor at UBS FINANCIAL SERVICES INC.

ROCKY RIVER, OH

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Search this name across graphsid dfx:ria:44fbd037-3ed0-975e-6a9b-5e624a4430ee

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 12, 2016 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: UBS FINANCIAL SERVICES INC.
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 1, 2015earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Feb 29, 2016
First registration: Jan 12, 2016
Dual registered: yes, broker-dealer
Other names: Sean A Stamper|SEAN ANTHONY STAMPER|Sean Stamper
IAPD individual key: 5970549

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
UBS FINANCIAL SERVICES INC.	Wirehouse	Oct 23, 2023	n/a	yes	ROCKY RIVER, OH	Current employment
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Feb 8, 2022	Oct 6, 2023	no	WESTLAKE, OH	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Mar 1, 2017	Mar 4, 2020	no	CLEVELAND, OH\|CLEVELAND, OH	Previous registration
STRATOS WEALTH PARTNERS, LTD	Bd affiliated wealth	Jan 12, 2016	Dec 31, 2016	no	BEACHWOOD, OH	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
FIDELITY PERSONAL AND WORKPLACE ADVISORS	UBS FINANCIAL SERVICES INC.	Oct 6, 2023	Oct 23, 2023	17	Firm change	Ibd to wirehouse
PNC WEALTH MANAGEMENT	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Mar 4, 2020	Feb 8, 2022	706	Firm change after gap	Ibd to ibd
STRATOS WEALTH PARTNERS, LTD	PNC WEALTH MANAGEMENT	Dec 31, 2016	Mar 1, 2017	60	Firm change	Other

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Oct 23, 2023 to presentfactForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Feb 8, 2022 to Oct 6, 2023factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Mar 1, 2017 to Mar 4, 2020factForm ADV
→ STRATOS WEALTH PARTNERS, LTDRegistered adviserregistration: previous registration
Jan 12, 2016 to Dec 31, 2016factForm ADV

Dated events

Occurred
Oct 6, 2023
Advisor changed firm
Sean Anthony Stamper left Fidelity Personal And Workplace Advisors for Ubs Financial Services Inc. (registered 2023-10-23)
Form ADVobserved 6 days ago