Sean Richardson has been Managing Member & Chief Compliance Officer of AllStreet Capital since July 2016, is a control person of the firm and directly owns between 50% and 75% of it. Sean Richardson holds a Bachelor of Science in Political Science from the University of Utah.
Allstreet Capital LLC is a Los Angeles, CA firm with $218M under management, 120 clients and 2 advisers across 2 offices, as of its February 2026 filing.
Sean Richardson is Partner | Senior Advisor of AllStreet Capital. He is a founder and partner of the firm. Before launching AllStreet Capital, he spent 20 plus years at Smith Barney, UBS and Morgan Stanley as a Senior Portfolio Manager, helping clients develop and implement planning and investment strategies. He works holistically with clients to integrate their wealth accumulation, risk management, retirements and other planning needs.
Sean Richardson’s longest registration is the current one, 10 years at AllStreet Capital since 2016. Before joining AllStreet Capital in 2016, Sean Richardson was registered through Morgan Stanley and Morgan Stanley & Co. Incorporated.
- Allstreet Capital LLCCurrent– present · 10 yearsLos Angeles, CA · Adviser representative · Firm CRD 283564
- Morgan Stanley– · 7 yearsLos Angeles, CA · Adviser representative · Firm CRD 149777
- Morgan Stanley & Co. Incorporated– · under a yearLos Angeles, CA · Adviser representative · Firm CRD 8209
- UBS Financial Services Inc.– · 5 yearsLos Angeles, CA · Adviser representative · Firm CRD 8174
- Citigroup Global Markets Inc.– · 5 yearsLos Angeles, CA · Adviser representative · Firm CRD 7059
Investment adviser representative registrations
Sean Richardson is registered as an investment adviser representative in 2 states. Each was approved in July 2016.
- CaliforniaSince 8 July 2016
- TexasSince 8 July 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 31 | Futures Managed Funds Examination | 19 April 2007 |
| Series 65 | Uniform Investment Adviser Law Examination | 20 August 1996 |
| Series 63 | Uniform Securities Agent State Law Examination | 9 August 1996 |
| Series 7 | General Securities Representative Examination | 24 July 1996 |
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Sean Anthony Richardson
- CRD
- 2760672
- Firm
- AllStreet Capital · CRD 283564
- Role
- Managing Member & Chief Compliance Officer
- Office
- 707 WILSHIRE BLVD, SUITE 4000, Los Angeles, CA 90017
- Registration
- Investment adviser registration
- In the industry since
- July 1997
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- allstreetcapital.com
Where does Sean Richardson work?
Sean Richardson has been Managing Member & Chief Compliance Officer of Allstreet Capital LLC since July 2016, and is a control person of the firm.
Is Sean Richardson a financial advisor?
Yes. Sean Richardson has a current investment-adviser registration in California and Texas, through AllStreet Capital since July 2016.
How many years of experience does Sean Richardson have?
Sean Richardson has 29 years in the financial industry, since July 1997, across 5 adviser firms.
What exams has Sean Richardson passed?
Sean Richardson has passed 4 licensing exams: the Series 7, Series 63, Series 65 and Series 31. The earliest, the Series 7, was passed in July 1996. FINRA credited Sean Richardson with the SIE, which began in October 2018.
Where did Sean Richardson work before AllStreet Capital?
Before AllStreet Capital, Sean Richardson was registered through Morgan Stanley & Co. Incorporated, February 2009 to June 2009; UBS Financial Services Inc., April 2003 to March 2009; Citigroup Global Markets Inc., July 1997 to April 2003.
Where is Sean Richardson based?
Sean Richardson’s registered office is in Los Angeles, CA.
Is Sean Richardson registered with FINRA?
No. Sean Richardson has no current broker registration.
How can I verify Sean Richardson’s record?
Search CRD 2760672 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Sean Richardson’s full registration record.
