Sean Fletcher has been Chief Compliance Officer and Managing Member of Prospettiva Financial since October 2008, is a control person of the firm and directly owns 75% or more of it.
Prospettiva Financial LLC is a San Francisco, CA firm with $129M under management, 294 clients and 3 advisers across 4 offices, as of its March 2026 filing.
Sean Fletcher is Founder, Partner, and Financial Planner of Prospettiva Financial, based in San Francisco. He moved into financial planning in 2001 and is a former President of the East Bay Estate Planning Council. Prospettiva was founded in 2005 under the name Rhodes and Fletcher.
Sean Fletcher’s longest registration is the current one, 17 years at Prospettiva Financial since 2009. Before joining Prospettiva Financial in 2009, Sean Fletcher was registered through FSC Securities Corporation.
- Prospettiva FinancialCurrent– present · 17 yearsSan Francisco, CA · Adviser representative · Firm CRD 148760
- FSC Securities Corporation– · 7 yearsSan Francisco, CA · Adviser representative · Firm CRD 7461
Professional designations
Listed by Prospettiva Financial
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Accredited Investment Fiduciary (AIF®)
Investment adviser representative registrations
Sean Fletcher is registered as an investment adviser representative in California, since January 2009.
- CaliforniaSince 6 January 2009
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 18 May 2009 |
| Series 65 | Uniform Investment Adviser Law Examination | 13 March 2003 |
| Series 7 | General Securities Representative Examination | 27 February 2003 |
| Series 63 | Uniform Securities Agent State Law Examination | 30 November 2001 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 28 August 2000 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Sean A Fletcher
- CRD
- 2705795
- Firm
- Prospettiva Financial · CRD 148760
- Role
- Chief Compliance Officer and Managing Member
- Office
- 22 BATTERY STREET, SUITE 426, San Francisco, CA 94111
- Registration
- Investment adviser registration
- In the industry since
- August 2003
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- prospettivafinancial.com
Where does Sean Fletcher work?
Sean Fletcher has been Chief Compliance Officer and Managing Member of Prospettiva Financial LLC since October 2008, and is a control person of the firm.
Is Sean Fletcher a financial advisor?
Yes. Sean Fletcher has a current investment-adviser registration in California, through Prospettiva Financial since January 2009.
How many years of experience does Sean Fletcher have?
Sean Fletcher has 23 years in the financial industry, since August 2003, across 2 adviser firms.
What exams has Sean Fletcher passed?
Sean Fletcher has passed 5 licensing exams: the Series 6, Series 63, Series 7, Series 65 and Series 24. The earliest, the Series 6, was passed in August 2000. FINRA credited Sean Fletcher with the SIE, which began in October 2018.
Where is Sean Fletcher based?
Sean Fletcher’s registered office is in San Francisco, CA.
Is Sean Fletcher registered with FINRA?
No. Sean Fletcher has no current broker registration.
Is Sean Fletcher a CFP?
Prospettiva Financial lists Sean Fletcher with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Sean Fletcher’s record?
Search CRD 2705795 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Sean Fletcher’s full registration record.