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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

SEAN STEPHEN GORMAN

Advisor at CHARLES SCHWAB & CO., INC.

Miami, FL

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Search this name across graphsid dfx:ria:72b6cc60-af6d-0561-2b71-d4926a6fa484

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 3, 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: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 30, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: May 30, 2008
First registration: Jun 3, 2008
Dual registered: yes, broker-dealer
Other names: SEAN GORMAN
IAPD individual key: 5509637

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
CHARLES SCHWAB & CO., INC.	National bd RIA	Apr 13, 2022	n/a	yes	Miami, FL	Current employment
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jul 21, 2010	Sep 7, 2023	no	CORAL GABLES, FL\|MIAMI, FL\|MIAMI, FL	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Jul 8, 2010	Oct 14, 2022	no	Coral Gables, FL\|Miami, FL	Previous registration
EDWARD JONES	National bd RIA	Mar 6, 2009	Jun 9, 2010	no	Maryland Heights, MO\|AVENTURA, FL	Previous registration
EDWARD JONES	National bd RIA	Jun 3, 2008	Jan 9, 2009	no	ST LOUIS, MO\|ST LOUIS, MO\|CHESTERFIELD, MO\|Ballwin, MO	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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	CHARLES SCHWAB & CO., INC.	Sep 7, 2023	Apr 13, 2022	-512	Bulk transfer	RIA to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Oct 14, 2022	Jul 21, 2010	-4,468	Bulk transfer	Other
EDWARD JONES	TD AMERITRADE, INC.	Jun 9, 2010	Jul 8, 2010	29	Firm change	Ibd to new firm

Relationships

Registered with (4)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Apr 13, 2022 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 21, 2010 to Sep 7, 2023factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Jul 8, 2010 to Oct 14, 2022factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Mar 6, 2009 to Jun 9, 2010factForm ADV

Dated events

No dated event names this entity yet.