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Sean Dranfield

Chief Executive Officer at PT Asset Management

Investment adviser and broker registrationsChicago, ILSEC record checked 17 October 2026

22
Years in the industry
11
Years at the firm
4
Adviser firms
1
State registrations

IAPD record retrieved 17 October 2026SEC record

Sean Dranfield is Chief Executive Officer of PT Asset Management, LLC, a Chicago investment adviser managing $11.3B. Sean Dranfield has been registered through PT Asset Management since 16 January 2015, has 22 years in the industry across 4 firms and has passed 5 licensing exams.

Role at PT Asset Management

Title on Schedule A
Chief Executive Officer
Control
Sean Dranfield is a control person of PT Asset Management.
Ownership
The filed direct ownership band is 5% to 10%.
Tenure
Sean Dranfield has held the filed role since January 2018.

The firm

PT Asset Management, LLC
Chicago, IL

Form ADV filed 31 March 2026

$11.3B AUM4 clients16 advisers1 offices

Career on record

Sean Dranfield has been registered through PT Asset Management since January 2015, and before that through World Equity Group, Inc., Oakpath Financial and M Holdings Securities, Inc..

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Pt Asset Management, LLCCurrent
    – present · 12 years
    Chicago, IL · Adviser representative · Firm CRD 107619
  3. Pt Asset Management, LLC
    – · 3 years
    Chicago, IL · Adviser representative · Firm CRD 107619
  4. World Equity Group, Inc.
    – · under a year
    Wheaton, IL · Adviser representative · Firm CRD 29087
  5. Oakpath Financial
    – · 3 years
    Northfield, IL · Adviser representative · Firm CRD 161366
  6. M Holdings Securities, Inc.
    – · under a year
    Chicago, IL · Adviser representative · Firm CRD 43285
  7. Passed Series 65 · 2012
  8. Passed Series 63 · 2004
  9. Passed Series 6 and Series 26 · 2003

Registrations and exams

Sean Dranfield has a current investment-adviser registration in Illinois and has passed 5 qualifying exams.

Illinois16 January 2015
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6527 February 2012
Name
Uniform Investment Adviser Law Examination
Series 6328 October 2004
Name
Uniform Securities Agent State Law Examination
Series 2630 May 2003
Name
Investment Company Products/Variable Contracts Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 622 May 2003
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
Sean Michael-thomas Dranfield
CRD
4363137
Firm
PT Asset Management, LLC
Registration status
Investment adviser and broker registrations
Office
500 W. MADISON STREET, SUITE 500, Chicago, IL 60661
Firm bio
ptam.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

PT Asset Management identifies Sean Dranfield as chief executive officer and responsible for firm leadership. Official firm biography

Education

Credentials and memberships

Common questions

Where does Sean Dranfield work?

Sean Dranfield has been Chief Executive Officer of PT Asset Management, LLC since January 2018, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 31 March 2026

Is Sean Dranfield a financial advisor?

Yes. Sean Dranfield has a current investment-adviser registration in Illinois, through PT Asset Management since January 2015, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Sean Dranfield have?

Sean Dranfield has worked in the financial industry for 22 years as of 17 October 2026, counted from 3 April 2004, across 4 adviser firms.

Source: IAPD individual record, checked 17 October 2026

What exams has Sean Dranfield passed?

Sean Dranfield has passed 5 licensing exams: the Series 6, Series 26, Series 63, Series 65 and SIE. The earliest, the Series 6, was passed in May 2003.

Source: IAPD individual record, checked 17 October 2026

Where did Sean Dranfield work before PT Asset Management?

Before PT Asset Management, Sean Dranfield was registered through World Equity Group, Inc., October 2013 to February 2014; Oakpath Financial, April 2012 to December 2014; M Holdings Securities, Inc., February 2012 to April 2012.

Source: IAPD individual record, checked 17 October 2026

Where is Sean Dranfield based?

Sean Dranfield’s registered office is in Chicago, IL.

Source: IAPD individual record, checked 17 October 2026

Leadership at PT Asset Management

Sources

  1. IAPD individual record, CRD 4363137. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of PT Asset Management, LLC, filed 31 March 2026. Title, control and ownership bands.
  3. PT Asset Management team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Sean Dranfield or PT Asset Management, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.