ST
Sean C. Tucker
CETERA INVESTMENT ADVISERS LLC
OVERLAND PARK, KS 66210
Some features on this profile are disabled
CRD#: 2862114
ST
Professional summary
Sean Christopher Tucker, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Overland Park, Kansas and CETERA ADVISORS LLC located in Overland Park, Kansas.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Sean has worked at 10 firms and has passed the Series 65, Series 63, SIE 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.
1. NAME OF OTHER BUSINESS: PROSPERITY ADVISORS, LLC INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 02/2022, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: N/A, INVESTMENT RELATED: NO, ADDRESS: 4201 E 109TH ST, KANSAS CITY, MO, 64137, NATURE OF BUSINESS: RENTAL PROPERTY, START DATE: 03/2019, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 25, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: RENTED OUT THROUGH AIRBNB; 3. NAME OF OTHER BUSINESS: PROSPERITY TAX CENTER, LLC, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: TAX AND ACCOUNTING, START DATE: 03/2022, POSITION/TITLE/RELATIONSHIP: REFERRER, APX NUMBER OF HOURS PER WEEK: 2, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: REFER CLIENTS TO CPA; 4. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 12/2022 APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, FIXED ANNUITIES AND LONG-TERM CARE;
CRS (Client Relationship Summary) - RIA
Click below to view Sean Christopher Tucker's 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®
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 10955 Lowell Ave Ste 900 910, 920, 100, And 200, Overland Park, KS, 66210RIA
CRD#: 105644
OVERLAND PARK, KS
Current
February 16, 2022 - Present
CETERA ADVISORS LLC
Office #1: 10955 Lowell Ave Ste 900 910, 920, 100, & 200, Overland Park, KS, 66210BD
CRD#: 10299
Overland Park, KS
Past
February 16, 2022 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
KANSAS CITY, MO
Past
January 6, 2015 - February 18, 2022
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
OVERLAND PARK, KS
Past
January 6, 2015 - February 18, 2022
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
OVERLAND PARK, KS
Past
January 3, 2011 - December 31, 2014
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
TOPEKA, KS
Past
January 3, 2011 - December 31, 2014
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
TOPEKA, KS
Past
August 19, 2004 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
TOPEKA, KS
Past
January 7, 2004 - August 18, 2004
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
TOPEKA, KS
Past
January 7, 2004 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
TOPEKA, KS
Past
May 12, 2003 - August 25, 2003
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
SAN DIEGO, CA
Past
March 20, 2003 - August 25, 2003
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
March 20, 2003 - August 25, 2003
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
October 18, 2002 - March 17, 2003
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
REDLANDS, CA
Past
May 7, 2002 - March 17, 2003
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
May 20, 1999 - May 13, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
RIVERSIDE, CA
Past
May 19, 1998 - May 13, 2002
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
May 19, 1998 - May 13, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
May 5, 1997 - May 20, 1998
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
Alabama(1/2/2025)
RR
Arizona(7/15/2022)
RR
California(2/22/2022)
RR
Colorado(5/30/2023)
RR
Florida(2/16/2022)
RR
Georgia(11/13/2024)
RR
Idaho(1/2/2025)
RR
Illinois(2/22/2022)
RR
Indiana(2/23/2022)
RR
Iowa(8/1/2023)
RR
Kansas(2/16/2022)
IAR
Kansas(3/21/2024)
RR
Kentucky(1/3/2024)
RR
Louisiana(1/2/2025)
RR
Maryland(1/3/2024)
RR
Massachusetts(1/3/2024)
RR
Michigan(2/18/2022)
RR
Mississippi(1/3/2024)
RR
Missouri(2/16/2022)
IAR
Missouri(3/21/2024)
RR
Montana(1/3/2024)
RR
Nebraska(12/5/2022)
RR
Nevada(12/20/2023)
RR
North Carolina(1/3/2024)
RR
Ohio(2/22/2022)
RR
Oklahoma(7/20/2022)
RR
Pennsylvania(6/23/2022)
RR
South Carolina(1/3/2024)
RR
Texas(2/22/2022)
IAR
Texas(3/21/2024)
RR
Utah(10/18/2022)
RR
Vermont(8/29/2023)
RR
Virginia(2/16/2022)
RR
Washington(10/28/2022)
RR
Wisconsin(2/22/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
