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Sean R Mainwaring

Cetera Investment Advisers LLC

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About Sean R Mainwaring

Sean Mainwaring is a financial advisor with Cetera Investment Advisers LLC. Sean is licensed in 18 states and has been in the industry since June 2019. Sean provides advisory services for individuals, businesses, and trusts. Sean has a diverse client base and manages a significant amount of assets. Sean has a strong track record of success and is committed to providing his clients with personalized financial advice and guidance. Sean is a member of the Advisory Board of the Junior League of Tampa Bay and is active in community outreach.

Firm Information

Sean Mainwaring is currently registered with Cetera Investment Advisers LLC. Cetera Investment Advisers LLC is a financial services firm headquartered in Schaumburg, Illinois. The firm offers a wide range of financial planning and investment advisory services to individuals, corporations, pension plans, and charitable organizations. Cetera manages over $104 billion in assets for clients. The firm has a large network of licensed financial advisors and investment advisory representatives, serving over 423,000 clients across the country.
Cetera Investment Advisers LLC

1450 AMERICAN LANE

SCHAUMBURG, IL 60173-2096

$104.47B

Assets Under Management

16,618

Total Clients

7,280

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Sean Mainwaring’s Registration & Firm History

FL

03/12/2024 - Present

Cetera Investment Advisers LLC (TAMPA FL)

FL

06/24/2019 - 03/06/2024

EDWARD JONES (TAMPA FL)

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Licenses & Designations

BOTH

Issued 05/18/2019

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/24/2019

Series 7TO - General Securities Representative Examination

BC

Issued 02/11/2019

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 5 public disclosures for Sean R Mainwaring. Review regulatory record here.
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