Sean M. Roberts

WESCOTT FINANCIAL ADVISORY GROUP LLC

Philadelphia, PA 19103-4196

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CRD#: 2186477

Professional summary

Sean Mark Roberts, CFP® is a registered financial advisor currently at WESCOTT FINANCIAL ADVISORY GROUP LLC located in Philadelphia, Pennsylvania.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Sean has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 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.

In December 2021, Asset Planning Services, Ltd. ("APS") changed its name to Anterian Holdings, Ltd. ("AHL"). The name change was a requirement of APS' December 31, 2021 asset sale to Wescott Financial Advisory Group ("WFAG"), a fee-only independent RIA headquartered in Philadelphia, PA. Prior to the asset sale, APS was an independent fee-only RIA, registered as an S-Corp, and headquartered in Harleysville, PA. AHL is not an RIA but retains APS' S-Corp status, tax ID number, and location. AHL is a now a holding company whose primary assets are units of WFAG received in exchange for the sale of APS' client asset management contracts. AHL receives income from its holding of WFAG units. AHL has no employees but does have a Board of Directors and shareholders. Shareholders receive periodic distributions of revenue. Sean Roberts is a shareholder of AHL.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Mark Roberts'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®

CFP^®

Certified Financial Planner

Start date: 1995

Experience

Current

January 13, 2022 - Present

WESCOTT FINANCIAL ADVISORY GROUP LLC

Office #1: 30 South 17th Street, Philadelphia, PA 19103-4196Office #2: 162 Main Street, Harleysville, PA 19438

RIA

CRD#: 105989

Philadelphia, PA

Past

January 31, 1997 - April 20, 2001

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

October 25, 1996 - December 31, 2021

ASSET PLANNING SERVICES LTD.

RIA

CRD#: 105727

HARLEYSVILLE, PA

Past

October 24, 1994 - January 31, 1997

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

ATLANTA, GA

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".

WESCOTT FINANCIAL ADVISORY GROUP LLC

CRD#: 105989 / SEC#: 801-29752

RIA

Registered Investment Advisory firm - (6/11/1987 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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(1/13/2022)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/23/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/19/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/21/1994

General Securities Representative Examination

Current Firm

WESCOTT FINANCIAL ADVISORY GROUP LLC

CRD#: 105989 / SEC#: 801-29752

RIA

Registered Investment Advisory firm - (6/11/1987 Approved)

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Contact information

Main Address

30 South 17th Street, Philadelphia, PA 19103-4196

Mailing Address

Phone number

(215) 979-1619

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - WESCOTT PRIMARY (3/14/2025)

Regulatory assets under management

Total Number of Accounts	3,329
AUM (Assets Under Management)	$ 3,725,004,015

Red Flags

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

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Sean M. Roberts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Mark Roberts's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESCOTT FINANCIAL ADVISORY GROUP LLC

IFG NETWORK SECURITIES, INC.

ASSET PLANNING SERVICES LTD.

KEOGLER, MORGAN & COMPANY, INC.

Primary Firm SEC Registration

WESCOTT FINANCIAL ADVISORY GROUP LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/23/1996

Series 63

Date: 10/19/1994

Series 7

Date: 10/21/1994

Current Firm

WESCOTT FINANCIAL ADVISORY GROUP LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WESCOTT FINANCIAL ADVISORY GROUP LLC

TRUST BUT VERIFY

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