Sean P. Casey

CETERA INVESTMENT ADVISERS LLC

ST CLOUD, MN 56301

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CRD#: 2156290

Professional summary

Sean Patrick Casey is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in St Cloud, Minnesota and CETERA INVESTMENT SERVICES LLC located in St Cloud, Minnesota.

Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Sean has worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 6, Series 24 and Series 26 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)ROSE HILL PLANTATION HOME OWNERS ASSOCIATION; BOARD MEMBER; NOT INVESTMENT RELATED; NO COMPENSATION; 4 HOURS/MONTH 2)OWNER OF RENTAL PROPERTY

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Patrick Casey'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

January 7, 2022 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 400 1st St S Ste 300, St Cloud, MN 56301

RIA

CRD#: 105644

ST CLOUD, MN

Current

January 29, 2004 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 400 1st St S Ste 300, St Cloud, MN 56301

CRD#: 15340

St Cloud, MN

Past

April 22, 2009 - November 17, 2009

BANCNORTH INVESTMENT GROUP, INC.

CRD#: 31299

ST. CLOUD, MN

Past

April 22, 2009 - December 31, 2010

GUARANTY BROKERAGE SERVICES, INC.

CRD#: 23302

ST. CLOUD, MN

Past

November 18, 2002 - February 4, 2004

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

July 27, 1999 - September 30, 2002

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

November 5, 1998 - June 22, 1999

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

July 1, 1996 - August 5, 1998

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

July 18, 1991 - July 1, 1996

FINANCIAL HORIZONS SECURITIES CORPORATION

CRD#: 20221

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

Georgia
(1/29/2004)

Minnesota
(9/13/2022)

IAR

Minnesota
(9/13/2022)

South Carolina
(1/29/2004)

IAR

South Carolina
(1/7/2022)

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

IAR

Series 66

Date: 1/7/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/12/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/25/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/16/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/24/2021

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 1/27/1995

Investment Company Products/Variable Contracts 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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Firm Stability Insights

Sean P. Casey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Patrick Casey's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

BANCNORTH INVESTMENT GROUP, INC.

GUARANTY BROKERAGE SERVICES, INC.

IFMG SECURITIES, INC.

INVEST FINANCIAL CORPORATION

FSC SECURITIES CORPORATION

NATIONWIDE INVESTMENT SERVICES CORPORATION

FINANCIAL HORIZONS SECURITIES CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/7/2022

Series 63

Date: 1/12/1994

Series 7TO

Date: 7/25/2020

SIE

Date: 10/1/2018

Series 6

Date: 7/16/1991

Series 24

Date: 1/24/2021

Series 26

Date: 1/27/1995

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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