Sean Conner has been an investment adviser representative at Ethos Capital Management since November 2024, and is not listed among the firm’s executive officers or direct owners. Sean Conner studied at the University of Pennsylvania.
Ethos Capital Management, Inc. is a Newtown, PA firm with $155M under management, 181 clients and 4 advisers across 3 offices, as of its April 2026 filing.
Sean Conner is Financial Planning Associate of Ethos Capital Management, Inc. He contributes to the creation of strategic financial plans that support long-term portfolio management, drawing on over 20 years of industry experience. He began his career at The Hartford in 2001, supporting annuity and mutual fund distribution teams, and later led product management initiatives at Macquarie Funds Group.
- – present · 1 yearNewtown, PA · Adviser representative · Firm CRD 313145
Professional designations
Listed by Ethos Capital Management
- CFP®
Investment adviser representative registrations
Sean Conner is registered as an investment adviser representative in 3 states. The first approvals date from November 2024; the most recent is Texas, in May 2026.
- New JerseySince 4 December 2024
- PennsylvaniaSince 14 November 2024
- TexasSince 8 May 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 8 May 2002 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 22 December 2001 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Sean Michael Conner
- CRD
- 4475108
- Firm
- Ethos Capital Management · CRD 313145
- Office
- 626 SOUTH STATE STREET, Newtown, PA 18940
- Registration
- Investment adviser registration
- In the industry since
- October 2007
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- ethoscapitalmgt.com
Where does Sean Conner work?
Sean Conner is an investment adviser representative registered through Ethos Capital Management, Inc. since November 2024, and is not listed among the firm’s executive officers or direct owners.
Is Sean Conner a financial advisor?
Yes. Sean Conner has a current investment-adviser registration in New Jersey, Pennsylvania and Texas, through Ethos Capital Management since November 2024.
How many years of experience does Sean Conner have?
Sean Conner has 19 years in the financial industry, since October 2007, across 1 adviser firm.
What exams has Sean Conner passed?
Sean Conner has passed 2 licensing exams: the Series 6 and Series 63. The earliest, the Series 6, was passed in December 2001. FINRA credited Sean Conner with the SIE, which began in October 2018.
Where is Sean Conner based?
Sean Conner’s registered office is in Newtown, PA.
Is Sean Conner registered with FINRA?
No. Sean Conner has no current broker registration.
Is Sean Conner a CFP?
Ethos Capital Management lists Sean Conner with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
How can I verify Sean Conner’s record?
Search CRD 4475108 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Sean Conner’s full registration record.
