Sean J. Pierce

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CRD#: 2886155

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Sean Joseph Pierce SR, who also goes by Sean Joseph Pierce, was a registered financial professional .

Sean is a previously registered financial professional and started their career in finance in 1998. Sean had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 31 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sean Joseph Pierce

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) PATRIOT FINANCIAL GROUP; MASPEE, MA; INVESTMENT RELATED; INVESTMENT ADVISORY SERVICES; SINCE 11/2022; 160 HOURS/MO 2) CLARITY PRIVATE WEALTH; INVESTMENT RELATED; FINANCIAL SERVICES DBA; FINANCIAL ADVISOR; SINCE 11/2022; 160 HRS/MO

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 15, 2022 - September 26, 2023

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

MASHPEE, MA

Past

December 15, 2022 - September 26, 2023

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

MASHPEE, MA

Past

January 23, 2020 - October 13, 2023

THE PATRIOT FINANCIAL GROUP, LLC

RIA

CRD#: 172470

Mashpee, MA

Past

January 17, 2020 - December 15, 2022

SECURITIES AMERICA, INC.

CRD#: 10205

MASHPEE, MA

Past

June 18, 2018 - October 4, 2019

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

HYANNIS, MA

Past

April 18, 2017 - October 4, 2019

CITIZENS SECURITIES, INC.

CRD#: 39550

HYANNIS, MA

Past

August 29, 2016 - March 6, 2017

SYMETRA SECURITIES, INC.

CRD#: 739

WALTHAM, MA

Past

November 4, 2013 - August 15, 2016

NYLIFE SECURITIES LLC

CRD#: 5167

HYANNIS, MA

Past

October 8, 1998 - October 21, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 3, 1998 - October 16, 1998

GRAYSON FINANCIAL LLC

CRD#: 11764

RED BANK, NJ

Past

January 28, 1998 - August 27, 1998

M.S. FARRELL & COMPANY, INC.

CRD#: 24232

SYOSSET, NY

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 6/15/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/23/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/10/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/2/2013

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 31

Date: 10/17/1998

Futures Managed Funds Examination

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 J. Pierce

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

THE PATRIOT FINANCIAL GROUP, LLC

SECURITIES AMERICA, INC.

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

SYMETRA SECURITIES, INC.

NYLIFE SECURITIES LLC

MORGAN STANLEY DW INC.

GRAYSON FINANCIAL LLC

M.S. FARRELL & COMPANY, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/15/2018

Series 63

Date: 7/23/2016

SIE

Date: 10/1/2018

Series 7

Date: 9/10/2017

Series 6

Date: 11/2/2013

Series 31

Date: 10/17/1998

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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