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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

SEAN INDRAJIT SITTAMBALAM

Advisor at WELLS FARGO ADVISORS

EAST ROCKAWAY , NY | GARDEN CITY, NY

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jun 15, 2006 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: WELLS FARGO ADVISORS
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: Apr 4, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Apr 4, 2006
First registration: Jun 15, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 5073893

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
WELLS FARGO ADVISORS	Wirehouse	Sep 29, 2022	n/a	yes	EAST ROCKAWAY , NY\|GARDEN CITY, NY	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Jan 7, 2014	Oct 10, 2022	no	GARDEN CITY, NY\|JERICHO, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 2, 2009	Jan 8, 2014	no	NEW YORK, NY	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Oct 20, 2009	no	New York, NY	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Mar 16, 2007	Jun 1, 2009	no	NEW YORK, NY	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jun 15, 2006	Jan 31, 2007	no	NEW YORK, NY	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
UBS FINANCIAL SERVICES INC.	WELLS FARGO ADVISORS	Oct 10, 2022	Sep 29, 2022	-11	Firm change	Wirehouse to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	UBS FINANCIAL SERVICES INC.	Jan 8, 2014	Jan 7, 2014	-1	Firm change	Wirehouse to wirehouse
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 20, 2009	Oct 2, 2009	-18	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
CHASE INVESTMENT SERVICES CORP.	CITIGROUP GLOBAL MARKETS INC.	Jan 31, 2007	Mar 16, 2007	44	Firm change	Other

Relationships

Registered with (6)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Sep 29, 2022 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jan 7, 2014 to Oct 10, 2022factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 2, 2009 to Jan 8, 2014factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Oct 20, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Mar 16, 2007 to Jun 1, 2009factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Jun 15, 2006 to Jan 31, 2007factForm ADV

Dated events

Occurred
Oct 10, 2022
Advisor changed firm
Sean Indrajit Sittambalam left Ubs Financial Services Inc. for Wells Fargo Advisors (registered 2022-09-29)
Form ADVobserved 4 days ago