SM
Sean C. Mccloskey
CETERA INVESTMENT ADVISERS LLC
NEWPORT BEACH, CA 92660
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CRD#: 2912076
SM
Professional summary
Sean Conley Mccloskey is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Newport Beach, California and CETERA WEALTH SERVICES, LLC located in Newport Beach, California.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Sean has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 79, 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. NAME OF OTHER BUSINESS: TAX & FINANCIAL GROUP, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 08/2023, POSITION/TITLE/RELATIONSHIP: CEO, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 8/2009; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;
CRS (Client Relationship Summary) - RIA
Click below to view Sean Conley Mccloskey'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®
NoneExperience
Current
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4001 Macarthur Blvd Ste 300, Newport Beach, CA 92660RIA
CRD#: 105644
NEWPORT BEACH, CA
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4001 Macarthur Blvd. 3rd Floor, Newport Beach, CA 92660BD
CRD#: 13572
Newport Beach, CA
Past
June 29, 2016 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
NEWPORT BEACH, CA
Past
June 29, 2016 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
NEWPORT BEACH, CA
Past
March 18, 2011 - May 5, 2016
THE COURTNEY GROUP, LLC
BD
CRD#: 114904
Newport Beach, CA
Past
July 28, 2009 - July 6, 2011
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
NEWPORT BEACH, CA
Past
July 6, 2009 - July 6, 2011
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
NEWPORT BEACH, CA
Past
January 5, 2007 - November 20, 2008
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
NEWPORT BEACH, CA
Past
February 13, 2003 - September 7, 2004
CAIN BROTHERS & COMPANY, LLC
BD
CRD#: 13649
NEW YORK, NY
Past
October 17, 2001 - August 23, 2002
CAIN BROTHERS & COMPANY, LLC
BD
CRD#: 13649
NEW YORK, NY
Past
October 26, 1999 - August 13, 2001
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
September 30, 1998 - November 12, 1999
ABN AMRO SECURITIES LLC
BD
CRD#: 6540
NEW YORK, 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".
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(12/1/2023)
RR
Alaska(12/1/2023)
RR
Arizona(12/1/2023)
RR
Arkansas(12/1/2023)
RR
California(8/10/2023)
IAR
California(8/10/2023)
RR
Colorado(12/1/2023)
RR
Connecticut(12/1/2023)
RR
Delaware(12/1/2023)
RR
District of Columbia(12/1/2023)
RR
Florida(12/1/2023)
RR
Georgia(12/1/2023)
RR
Hawaii(12/1/2023)
RR
Idaho(12/1/2023)
RR
Illinois(12/1/2023)
RR
Indiana(12/1/2023)
RR
Iowa(12/1/2023)
RR
Kansas(12/1/2023)
RR
Kentucky(12/1/2023)
RR
Louisiana(12/1/2023)
RR
Maine(12/1/2023)
RR
Maryland(12/1/2023)
RR
Massachusetts(12/1/2023)
RR
Michigan(12/1/2023)
RR
Minnesota(12/1/2023)
RR
Mississippi(12/1/2023)
RR
Missouri(12/1/2023)
RR
Montana(12/1/2023)
RR
Nebraska(12/21/2023)
RR
Nevada(12/1/2023)
RR
New Hampshire(12/1/2023)
RR
New Jersey(12/1/2023)
RR
New Mexico(12/1/2023)
RR
New York(12/1/2023)
RR
North Carolina(12/1/2023)
RR
North Dakota(12/1/2023)
RR
Ohio(12/2/2023)
RR
Oklahoma(12/1/2023)
RR
Oregon(12/1/2023)
RR
Pennsylvania(12/1/2023)
RR
Rhode Island(12/1/2023)
RR
South Carolina(12/1/2023)
RR
South Dakota(12/1/2023)
RR
Tennessee(12/1/2023)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Utah(12/1/2023)
RR
Vermont(12/1/2023)
RR
Virgin Islands(1/2/2024)
RR
Virginia(12/1/2023)
RR
Washington(2/9/2024)
RR
West Virginia(12/1/2023)
RR
Wisconsin(12/1/2023)
RR
Wyoming(12/1/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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.
