Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Keating is a financial advisor with over 20 years of experience in the industry. Sean currently works as a Senior Financial Advisor for Cetera Investment Advisers LLC. Prior to that, Sean worked with Newbridge Securities Corporation, LPL Financial LLC, Regal Securities, Inc., and GWN Securities Inc., among others. Sean has Series 3, 7, 21, 25, 63, 66 and 14A licenses. Sean also holds the designations of Certified Financial Planner and Chartered Financial Consultant.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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NJ
02/02/2024 - Present
Cetera Investment Advisers LLC (Shrewsbury NJ)
NJ
09/29/2021 - 02/02/2024
NEWBRIDGE SECURITIES CORPORATION (SEA GIRT NJ)
NJ
01/27/2021 - 10/05/2021
LPL FINANCIAL LLC (SEA GIRT NJ)
IL
10/26/2016 - 03/02/2021
REGAL SECURITIES, INC. (GLENVIEW IL)
NJ
04/22/2015 - 06/21/2016
GWN SECURITIES INC. (Somerville NJ)
NJ
07/18/2006 - 05/13/2009
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
05/25/2001 - 07/13/2006
GOLDMAN SACHS EXECUTION & CLEARING, L.P. (NEW YORK NY)
NY
03/20/2001 - 07/13/2006
SPEAR, LEEDS & KELLOGG SPECIALISTS LLC (NEW YORK NY)
NY
10/01/2000 - 03/20/2001
BENJAMIN JACOBSON & SONS, L.L.C. (NEW YORK NY)
BOTH
Issued 03/12/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/20/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/28/2004
Series 14A - Compliance Official Specialist Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/22/2015
Series 7 - General Securities Representative Examination
BC
Issued 12/08/2003
Series 3 - National Commodity Futures Examination
BC
Issued 01/31/2002
Series 21 - NYSE Front Line Specialist Clerk
BC
Issued 03/17/1999
Series 25 - NYSE Trading Assistant Examination
Active
Inactive
F
FINRA
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