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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

Sean Patrick Finley

Advisor at U.S. BANCORP ADVISORS, LLC

Mount Orab, OH | Batavia, OH

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Search this name across graphsid dfx:ria:5caf0925-02c6-00e2-d4f0-f76b42e60b4e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Apr 10, 2013 to Sep 15, 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: U.S. BANCORP 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: Feb 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: May 18, 2012
First registration: Apr 10, 2013
Dual registered: yes, broker-dealer
Other names: Sean Finley
IAPD individual key: 6013967

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
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	Feb 13, 2026	n/a	yes	Batavia, OH\|Mount Orab, OH	Current employment
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Sep 26, 2023	Feb 13, 2026	no	SAINT PAUL, MN\|Batavia, OH\|Mount Orab, OH	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 13, 2018	Sep 13, 2023	no	BOSTON, MA	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Apr 10, 2013	Jul 13, 2018	no	COVINGTON, KY	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
U.S. BANCORP INVESTMENTS, INC.	U.S. BANCORP ADVISORS, LLC	Feb 13, 2026	Feb 13, 2026	0	Bulk transfer	Ibd to ibd
FIDELITY PERSONAL AND WORKPLACE ADVISORS	U.S. BANCORP INVESTMENTS, INC.	Sep 13, 2023	Sep 26, 2023	13	Firm change	Ibd to ibd
STRATEGIC ADVISERS LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jul 13, 2018	Jul 13, 2018	0	Bulk transfer	Ibd to new firm

Relationships

Registered with (4)

→ U.S. BANCORP ADVISORS, LLCRegistered adviserregistration: current employment
Feb 13, 2026 to presentfactForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Sep 26, 2023 to Feb 13, 2026factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jul 13, 2018 to Sep 13, 2023factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Apr 10, 2013 to Jul 13, 2018factForm ADV

Dated events

Occurred
Sep 13, 2023
Advisor changed firm
Sean Patrick Finley left Fidelity Personal And Workplace Advisors for U.S. Bancorp Investments, Inc. (registered 2023-09-26)
Form ADVobserved 6 days ago