SK
Sean M. Kleeman
CETERA INVESTMENT ADVISERS LLC
Mililani, HI
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CRD#: 4049441
SK
Professional summary
Sean Michael Kleeman is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mililani, Hawaii and CETERA WEALTH SERVICES, LLC located in Mililani, Hawaii.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Sean has worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 6 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) MILILANI TOWN CLUSTER 35 ASSOCIATION POSITION: Director of the Homeowners' Association NATURE: Homeowner Association that manages and enforces regulations based on our By-Laws. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2018 ADDRESS: 737 Bishop Street, Suite 3100, Honolulu HI 96813; Review design applications, enforce regulatory infractions, and provide guidance to Board and Homeowners so that we legally meet all required obligations based on our By Laws with the assistance of a professional Property Management Service organization. 2) Workwear Hawaii, Inc.; Treasurer; Inactive Workwear Apparel Wholesale/Retail Company. No activity has been done to date under this company..; NIR; 0; 11/30/2017; 94-1388 Moaniani Street WAIPAHU HI 96797; My role was to help provide proper bookkeeping, accounting and tax controls of company once it was made active. 3) The Kleeman Corporation; President; Tax, Bookkeeping, Payroll and Business Consulting Firm..; NIR; 60; 01/26/2004; 94-253 Paeloahiki Place Mililani HI 96789; I oversee staff and do most of the business development, tax preparations and business consultation. I do not do bookkeeping and payroll services, but have oversight and control of all individuals/employees involved. We do not provide cash management, check writing, and/or direct bill paying for the clientele. We only account for the transactions conducted by the clients. 4) Amway Corporation; Proprietor; Provide access to Home, Health, and Beauty Products for retail and wholesale distribution. Also train and equip others to be able to duplicate and be independent business owners of their own through a private franchising model.; NIR; 0; 08/11/2000; 94-253 Paeloahiki Place Mililani HI 96789; Market to potential clients through word of mouth or directing them to the Amway.com website. We do at times recruit and train potential business owners, but have not been involved in the recruitment side of the business in about 3 years. 5) Central Oahu Senior Day Care Association; Board Member/Treasurer; We respectfully provide our elderly clients an environment grounded in physical, mental and emotional well-being by offering choices to participate in engaging activities and interaction with others during the day at our adult day care facilities staffed with licensed health care professionals.; NIR; 0; 08/19/2019; 1445 California Ave Wahiawa HI 96786; I attend quarterly Board of Director Meetings to help guide the organization in its decision making processes and long term planning. Review organization's financial statements to assist in making sure the organization is an ongoing concern. Provide ideas to the Board regarding marketing and growth strategies.
CRS (Client Relationship Summary) - RIA
Click below to view Sean Michael Kleeman'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
September 6, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
Mililani, HI
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Mililani, HI
Past
June 27, 2022 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Mililani, HI
Past
January 14, 2022 - September 8, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Mililani, HI
Past
October 24, 2008 - December 31, 2011
PFS INVESTMENTS INC.
BD
CRD#: 10111
HONOLULU, HI
Past
November 16, 1999 - February 9, 2001
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
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
Georgia(11/18/2025)
RR
Hawaii(9/5/2025)
IAR
Hawaii(9/6/2025)
RR
Idaho(9/18/2025)
RR
Nevada(9/5/2025)
RR
Oregon(11/17/2025)
RR
South Carolina(11/20/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/27/2022
General Securities Representative ExaminationGeneral 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
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
