Sean K. Fitzpatrick

CETERA INVESTMENT ADVISERS LLC

ALLENTOWN, PA 18104

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CRD#: 1065878

Professional summary

Sean Kevin Fitzpatrick is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Allentown, Pennsylvania and CETERA ADVISORS LLC located in Allentown, Pennsylvania.

Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Sean has worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1.) ANCHOR POINT WEALTH MANAGEMENT; PRESIDENT; INSURANCE; START DATE 01/01/2015; 160 HOURS PER MONTH. 2.) ANCHOR POINT WEALTH MANAGEMENT; PRESIDENT; DBA; START DATE 01/01/2015; 160 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Kevin Fitzpatrick's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 12, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1401 N. Cedar Crest Blvd. Suite 109, Allentown, PA 18104

RIA

CRD#: 105644

ALLENTOWN, PA

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

Office #1: 1401 N Cedar Crest Boulevard Suite 109, Allentown, PA 18104

CRD#: 10299

Allentown, PA

Past

July 2, 2012 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

ALLENTOWN, PA

Past

September 20, 2011 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

ALLENTOWN, PA

Past

December 9, 2008 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

ALLENTOWN, PA

Past

June 23, 2008 - October 5, 2011

GORDON H. DICKINSON & CO.

RIA

CRD#: 122999

ALLENTOWN, PA

Past

April 21, 1993 - December 9, 2008

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

ALLENTOWN, PA

Past

May 8, 1991 - April 21, 1993

VALLEY NATIONAL INVESTMENTS, INC.

CRD#: 16715

BETHLEHEM, PA

Past

May 27, 1987 - May 29, 1991

PILGRIM PLANNING ASSOCIATES, INC.

CRD#: 7955

Past

January 22, 1986 - June 5, 1987

LINCOLN INVESTMENT

CRD#: 519

Past

January 31, 1985 - February 5, 1986

THE ADVISORS GROUP, INC.

CRD#: 14035

Past

November 24, 1982 - December 27, 1984

LINCOLN INVESTMENT

CRD#: 519

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(9/8/2022)

Arizona
(9/8/2022)

California
(9/8/2022)

Colorado
(9/8/2022)

Delaware
(9/8/2022)

Florida
(9/8/2022)

Georgia
(9/8/2022)

Idaho
(11/11/2022)

Illinois
(9/8/2022)

Louisiana
(9/8/2022)

Maryland
(9/8/2022)

Massachusetts
(9/8/2022)

New Jersey
(9/8/2022)

New York
(9/8/2022)

North Carolina
(9/8/2022)

IAR

Pennsylvania
(11/12/2020)

Pennsylvania
(9/8/2022)

South Carolina
(11/11/2024)

Texas
(7/16/2024)

IAR

Texas
(7/16/2024)

Virginia
(9/8/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 12/6/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/20/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/9/1991

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Sean K. Fitzpatrick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Kevin Fitzpatrick's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

GORDON H. DICKINSON & CO.

FIRST MONTAUK SECURITIES CORP.

VALLEY NATIONAL INVESTMENTS, INC.

PILGRIM PLANNING ASSOCIATES, INC.

LINCOLN INVESTMENT

THE ADVISORS GROUP, INC.

LINCOLN INVESTMENT

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/6/1982

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/20/1982

Series 24

Date: 9/9/1991

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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