SW
Sean C. Walker
CWM
Irvine, CA 92618
Some features on this profile are disabled
CRD#: 4113609
SW
Professional summary
Sean Christopher Walker is a registered financial advisor currently at CWM, LLC located in Irvine, California and CETERA WEALTH SERVICES, LLC located in Irvine, California.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Sean has worked at 8 firms and has passed the Series 66, Series 63, SIE, 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: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 07/2014; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND ANNUITIES; 2. NAME OF OTHER BUSINESS: CWM, LLC DBA CARSON PARTNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM THAT PROVIDES PORTFOLIO MANAGEMENT, FINANCIAL PLANNING, ESTATE PLANNING, AND ADDITIONAL ADVISORY SERVICES. POSITION/TITLE/RELATIONSHIP: WEALTH ADVISOR; START DATE: 10/2020; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: ADVISORY SERVICES; 3. NAME OF OTHER BUSINESS: APPLIED FINANCIAL PLANNING; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES; START DATE: 09/2014; POSITION/TITLE/RELATIONSHIP: PRINCIPLE; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES; 4. NAME OF OTHER BUSINESS: THE MONEY GUYS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR APPLIED FINANCIAL PLANNING / RADIO SHOW; START DATE: 09/2014; POSITION/TITLE/RELATIONSHIP: NONE; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: PARTICIPATE IN RADIO SHOW; 5. NAME OF OTHER BUSINESS: CONSERVATIVE PORTFOLIO ASSOCIATES, INC. INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ENTITY USED FOR FEES AND COMMISSIONS; START DATE: 12/2015; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: ENTITY USED FOR FEES AND COMMISSIONS; 6. NAME OF OTHER BUSINESS: CAMBER AVIATION PARTNERS, LLC; INVESTMENT RELATED: NO; ADDRESS: FOOTHILL RANCH, CA; NATURE OF BUSINESS: AVIATION SERVICES; START DATE: 12/2019; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: AIRCRAFT TRAINING, RENTING AND LEASING; 7. NAME OF OTHER BUSINESS: DOVE STREET ASSOCIATES, LLC; INVESTMENT RELATED: NO; ADDRESS: 507 LARKSPUR AVE, CORONA DEL MAR, CA 92625; NATURE OF BUSINESS: GENERAL AVIATION AIRCRAFT (CIRRUS SR-22T) MANAGEMENT LLC; START DATE: 12/2021; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1.25; APX NUMBER OF HOURS DURING TRADING HOURS: 1.25; BRIEF DESCRIPTION OF DUTIES: MAKE SURE BILLS ARE PAID AND INVOICES ARE SENT TO THE PARTNER'S RESPECTIVE ORGANIZATION FOR FLIGHTS TAKEN; 8. NAME OF OTHER BUSINESS: AFPWM, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 10/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ENTITY FOR TAX PURPOSES AND SUCCESSION;
CRS (Client Relationship Summary) - RIA
Click below to view Sean Christopher Walker'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
October 19, 2020 - Present
CWM, LLC
Office #1: 100 Pacifica Suite 400, Irvine, CA 92618Office #2: 1055 East Colorado Blvd. 5th Floor, Pasadena, CA 91106Office #3: 3655 Torrance Blvd. 3rd Floor, Torrance, CA 90503Office #4: 21550 Oxnard St. Suite 300, Woodland Hills, CA 91367RIA
CRD#: 155344
Irvine, CA
Current
October 19, 2020 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 100 Pacifica Ste 400, Irvine, CA 92618BD
CRD#: 13572
Irvine, CA
Past
June 29, 2023 - November 8, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
IRVINE, CA
Past
October 20, 2020 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
October 24, 2018 - November 3, 2020
APPLIED FINANCIAL PLANNING, INC.
RIA
CRD#: 136834
IRVINE, CA
Past
May 19, 2014 - October 21, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
IRVINE, CA
Past
November 19, 2013 - October 21, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
IRVINE, CA
Past
April 21, 2009 - November 1, 2012
SALEM PARTNERS LLC
BD
CRD#: 43363
LOS ANGELES, CA
Past
January 3, 2001 - April 20, 2009
MCGLADREY CAPITAL MARKETS, LLC
BD
CRD#: 47639
COSTA MESA, CA
Past
May 15, 2000 - December 8, 2000
REA SECURITIES INC.
BD
CRD#: 40264
NEWPORT BEACH, CA
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".
CL
CWM, LLC
22 WEALTH MANAGEMENT | RFC FINANCIAL PLANNERS | RETIREMENT PLANNING AND WEALTH MANAGEMENT | RETIREMENT PLANNING & WEALTH MANAGEMENT | RETIREMENT EXTENDER | RBV WEALTH MANAGEMENT | RANDALL & POBAR, LLC | PRICE FINANCIAL GROUP | PREMIER WEALTH MANAGEMENT GROUP | PLATINUM WEALTH MANAGEMENT | PINNACLE WEALTH | PINNACLE FINANCIAL GROUP | PILLAR FINANCIAL ADVISORS | PETERMAN FINANCIAL GROUP, INC. | PETERMAN FINANCIAL GROUP | PESTA & PESTA WEALTH MANAGEMENT | PARSONS WEALTH MANAGEMENT | PARISH WEALTH PARTNERS | PANGEA WEALTH | OVATION WEALTH ADVISORS | OSL, INC | OLIVIER GROUP INNOVATIVE WEALTH PLANNERS | OGDEN WEALTH | OAKESON STEINER WEALTH & RETIREMENT | NWCM | NICHOLS WEALTH PARTNERS | NETWORTH FINANCIAL, INC | NESSO WEALTH | NAVION FINANCIAL ADVISORS | NAVIGUIDE WEALTH PARTNERS, INC. | NAUTICA WEALTH ADVISORS | MORGAN WEALTH | MITLIN FINANCIAL | MELERINE WEALTH MANAGEMENT | MEIKLE FINANCIAL GROUP | MEATH WEALTH ADVISORS | MAMMOTH FINANCIAL | MAIN STREET FINANCIAL LIFE ADVISORS, LLC | MAG WEALTH MANAGEMENT | LUND WEALTH MANAGEMENT | LOTUS BRIDGE WEALTH MANAGEMENT | LIONS GATE WEALTH MANAGEMENT, LLC | LIONS GATE WEALTH | LATITUDE WEALTH MANAGEMENT | LATITUDE WEALTH | LANE BROTHERS INVESTMENT COUNSEL | LANE BROTHERS & COMPANY, INC | LANE BROTHERS & CO. | KUHLMANN FINANCIAL | KEYSTONE FINANCIAL | KANAI WEALTH MANAGEMENT GROUP | KABAREC FINANCIAL ADVISORS | JON BAKER FINANCIAL GROUP | JACOB WILLIAM ADVISORY | INTEGRATED WEALTH MANAGEMENT | HORIZON FINANCIAL GROUP | HOLLAR WEALTH | HOFFMEYER WEALTH MANAGEMENT | HIRST FINANCIAL INDEPENDENCE PLANNING | HERITAGE FINANCIAL | HARRISON WALLACE FINANCIAL GROUP, LTD | HARRISON WALLACE | HAL-OTEY FINANCIAL | HAL OTEY FINANCIAL WEALTH MANAGEMENT & RETIREMENT PLANNING | GWA | GRIMM-SCHLIPMAN FINANCIAL | GRAVES FINANCIAL WEALTH MANAGEMENT | GRANITE WEALTH STRATEGIES | GOLD FAMILY WEALTH | GERTSEMA WEALTH ADVISORS | GERTSEMA WEALTH | GEIST FAMILY WEALTH | GAAM WEALTH ADVISORS, INC. | FORTIS FINANCIAL PARTNERS | FLP FINANCIAL | FLASHPOINT FINANCIAL SERVICES | FINANCIAL MANAGEMENT INC. | FINANCIAL INDEPENDENCE PLANNING, INC. | FINANCIAL IMPACT ADVISORS | FFR WEALTH TEAM | FCM FINANCIAL PLANNING | FCM FINANCIAL | FAMILY WEALTH MANAGEMENT GROUP | EQUITY PLANNING INC | EQUANIMITY WEALTH MANAGEMENT | ENTIRETY | DYNAMIC LEGACY PLANNING | DSF WEALTH MGMT | DSF WEALTH MANAGEMENT, LLC | DRIVEN WEALTH STRATEGIES | DORHOUT RETIREMENT SERVICES | DILLON WEALTH MANAGEMENT GROUP | DIAMOND WEALTH MANAGEMENT | DIAMOND WEALTH ADVISORS | DENVER CAPITAL GROUP | CWMG-WEST DES MOINES | CWMG - WALTHAM | CWMG - COLORADO SPRINGS | CWMG | CWM, LLC | CULTIVATE WEALTH, LLC | CRESCENT FINANCIAL ADVISORS | CORNERSTONE WEALTH MANAGEMENT GROUP | CORNERSTONE WEALTH ADVISORS | CONCIERGE WEALTH MANAGEMENT GROUP | COLLECTIVE ADVISORS | CODY FINANCIAL ADVISORS | CLEAR RESOURCE GROUP | CLARITY WEALTH | CHESSMAN WEALTH STRATEGIES | CARSON WEALTH-TRUE NORTH FINANCIAL | CARSON WEALTH-THE SHOBE FINANCIAL GROUP | CARSON WEALTH-FISHER FINANCIAL ADVISORS | CARSON WEALTH MANAGEMENT GROUP | CARSON WEALTH | CARSON PARTNERS | CARSON INSTITUTIONAL ALLIANCE (CIA) | CARSON INSTITUTIONAL | CARSON GROUP PARTNERS | CARSON GROUP HOLDINGS | CARSON GROUP | CARSON | CADWELL WEALTH | BUTTERWORTH FINANCIAL GROUP | BUCKLEY INVESTMENT GROUP, LLC | BUCKLEY | BRIDGES PRIVATE WEALTH | BOSTON RETIREMENT GROUP | BMY WEALTH MANAGEMENT GROUP | BMY WEALTH | BLUEPRINT WEALTH MANAGEMENT | BLOOM WEALTH ADVISORS | BENDER FINANCIAL | BARRINGTON WEALTH MANAGEMENT | BAIN WEALTH MANAGEMENT | AVERY WEALTH, INC. | ASSET ADVISORS, LLC | ASPIRE FINANCIAL PLANNING | ART OF WEALTH MANAGEMENT | ARS INVESTMENT ADVISORS, INC. | ARMSTRONG PURSELLEY WEATH MANAGEMENT GROUP | ARMSTRONG PURSELLEY WEALTH MANAGEMENT | APTUS WEALTH PLANNING | APTUS WEALTH MANAGEMENT GROUP | APPLIED FINANCIAL PLANNING | APPLIED FINANCIAL | ALLGOOD FINANCIAL ADVISORY | ALEXANDER LEGACY PRIVATE WEALTH | ALBRITTON FINANCIAL SERVICES | ADVANCED RETIREMENT STRATEGIES | ABUNDANT LIFE FINANCIAL | ABBS RETIREMENT PLANNING ADVISORS | ABARIS FINANCIAL GROUP, LLC | ABARIS FINANCIAL GROUP | AAM FINANCIAL PLANNING AND INVESTMENTS | 360° WEALTH ADVISOR...
CRD#: 155344 / SEC#: 801-72037
RIA
Registered Investment Advisory firm - (1/3/2011 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
Arizona(11/2/2020)
IAR
California(10/19/2020)
RR
California(10/20/2020)
RR
Colorado(10/22/2020)
RR
Delaware(10/23/2020)
RR
Florida(10/20/2020)
RR
Hawaii(10/20/2020)
RR
Idaho(10/19/2020)
RR
Maryland(10/19/2020)
RR
Missouri(10/19/2020)
RR
Nevada(10/28/2020)
RR
New Jersey(10/21/2020)
RR
North Carolina(10/22/2020)
RR
Ohio(10/21/2020)
RR
Oregon(10/22/2020)
IAR
Pennsylvania(7/29/2021)
RR
Pennsylvania(8/4/2021)
RR
South Carolina(1/6/2021)
RR
Tennessee(7/20/2022)
IAR
Texas(10/19/2020)
RR
Texas(10/20/2020)
RR
Utah(10/20/2020)
RR
Virginia(10/22/2020)
RR
Washington(11/12/2020)
RR
Wisconsin(10/22/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CL
CWM, LLC
22 WEALTH MANAGEMENT | RFC FINANCIAL PLANNERS | RETIREMENT PLANNING AND WEALTH MANAGEMENT | RETIREMENT PLANNING & WEALTH MANAGEMENT | RETIREMENT EXTENDER | RBV WEALTH MANAGEMENT | RANDALL & POBAR, LLC | PRICE FINANCIAL GROUP | PREMIER WEALTH MANAGEMENT GROUP | PLATINUM WEALTH MANAGEMENT | PINNACLE WEALTH | PINNACLE FINANCIAL GROUP | PILLAR FINANCIAL ADVISORS | PETERMAN FINANCIAL GROUP, INC. | PETERMAN FINANCIAL GROUP | PESTA & PESTA WEALTH MANAGEMENT | PARSONS WEALTH MANAGEMENT | PARISH WEALTH PARTNERS | PANGEA WEALTH | OVATION WEALTH ADVISORS | OSL, INC | OLIVIER GROUP INNOVATIVE WEALTH PLANNERS | OGDEN WEALTH | OAKESON STEINER WEALTH & RETIREMENT | NWCM | NICHOLS WEALTH PARTNERS | NETWORTH FINANCIAL, INC | NESSO WEALTH | NAVION FINANCIAL ADVISORS | NAVIGUIDE WEALTH PARTNERS, INC. | NAUTICA WEALTH ADVISORS | MORGAN WEALTH | MITLIN FINANCIAL | MELERINE WEALTH MANAGEMENT | MEIKLE FINANCIAL GROUP | MEATH WEALTH ADVISORS | MAMMOTH FINANCIAL | MAIN STREET FINANCIAL LIFE ADVISORS, LLC | MAG WEALTH MANAGEMENT | LUND WEALTH MANAGEMENT | LOTUS BRIDGE WEALTH MANAGEMENT | LIONS GATE WEALTH MANAGEMENT, LLC | LIONS GATE WEALTH | LATITUDE WEALTH MANAGEMENT | LATITUDE WEALTH | LANE BROTHERS INVESTMENT COUNSEL | LANE BROTHERS & COMPANY, INC | LANE BROTHERS & CO. | KUHLMANN FINANCIAL | KEYSTONE FINANCIAL | KANAI WEALTH MANAGEMENT GROUP | KABAREC FINANCIAL ADVISORS | JON BAKER FINANCIAL GROUP | JACOB WILLIAM ADVISORY | INTEGRATED WEALTH MANAGEMENT | HORIZON FINANCIAL GROUP | HOLLAR WEALTH | HOFFMEYER WEALTH MANAGEMENT | HIRST FINANCIAL INDEPENDENCE PLANNING | HERITAGE FINANCIAL | HARRISON WALLACE FINANCIAL GROUP, LTD | HARRISON WALLACE | HAL-OTEY FINANCIAL | HAL OTEY FINANCIAL WEALTH MANAGEMENT & RETIREMENT PLANNING | GWA | GRIMM-SCHLIPMAN FINANCIAL | GRAVES FINANCIAL WEALTH MANAGEMENT | GRANITE WEALTH STRATEGIES | GOLD FAMILY WEALTH | GERTSEMA WEALTH ADVISORS | GERTSEMA WEALTH | GEIST FAMILY WEALTH | GAAM WEALTH ADVISORS, INC. | FORTIS FINANCIAL PARTNERS | FLP FINANCIAL | FLASHPOINT FINANCIAL SERVICES | FINANCIAL MANAGEMENT INC. | FINANCIAL INDEPENDENCE PLANNING, INC. | FINANCIAL IMPACT ADVISORS | FFR WEALTH TEAM | FCM FINANCIAL PLANNING | FCM FINANCIAL | FAMILY WEALTH MANAGEMENT GROUP | EQUITY PLANNING INC | EQUANIMITY WEALTH MANAGEMENT | ENTIRETY | DYNAMIC LEGACY PLANNING | DSF WEALTH MGMT | DSF WEALTH MANAGEMENT, LLC | DRIVEN WEALTH STRATEGIES | DORHOUT RETIREMENT SERVICES | DILLON WEALTH MANAGEMENT GROUP | DIAMOND WEALTH MANAGEMENT | DIAMOND WEALTH ADVISORS | DENVER CAPITAL GROUP | CWMG-WEST DES MOINES | CWMG - WALTHAM | CWMG - COLORADO SPRINGS | CWMG | CWM, LLC | CULTIVATE WEALTH, LLC | CRESCENT FINANCIAL ADVISORS | CORNERSTONE WEALTH MANAGEMENT GROUP | CORNERSTONE WEALTH ADVISORS | CONCIERGE WEALTH MANAGEMENT GROUP | COLLECTIVE ADVISORS | CODY FINANCIAL ADVISORS | CLEAR RESOURCE GROUP | CLARITY WEALTH | CHESSMAN WEALTH STRATEGIES | CARSON WEALTH-TRUE NORTH FINANCIAL | CARSON WEALTH-THE SHOBE FINANCIAL GROUP | CARSON WEALTH-FISHER FINANCIAL ADVISORS | CARSON WEALTH MANAGEMENT GROUP | CARSON WEALTH | CARSON PARTNERS | CARSON INSTITUTIONAL ALLIANCE (CIA) | CARSON INSTITUTIONAL | CARSON GROUP PARTNERS | CARSON GROUP HOLDINGS | CARSON GROUP | CARSON | CADWELL WEALTH | BUTTERWORTH FINANCIAL GROUP | BUCKLEY INVESTMENT GROUP, LLC | BUCKLEY | BRIDGES PRIVATE WEALTH | BOSTON RETIREMENT GROUP | BMY WEALTH MANAGEMENT GROUP | BMY WEALTH | BLUEPRINT WEALTH MANAGEMENT | BLOOM WEALTH ADVISORS | BENDER FINANCIAL | BARRINGTON WEALTH MANAGEMENT | BAIN WEALTH MANAGEMENT | AVERY WEALTH, INC. | ASSET ADVISORS, LLC | ASPIRE FINANCIAL PLANNING | ART OF WEALTH MANAGEMENT | ARS INVESTMENT ADVISORS, INC. | ARMSTRONG PURSELLEY WEATH MANAGEMENT GROUP | ARMSTRONG PURSELLEY WEALTH MANAGEMENT | APTUS WEALTH PLANNING | APTUS WEALTH MANAGEMENT GROUP | APPLIED FINANCIAL PLANNING | APPLIED FINANCIAL | ALLGOOD FINANCIAL ADVISORY | ALEXANDER LEGACY PRIVATE WEALTH | ALBRITTON FINANCIAL SERVICES | ADVANCED RETIREMENT STRATEGIES | ABUNDANT LIFE FINANCIAL | ABBS RETIREMENT PLANNING ADVISORS | ABARIS FINANCIAL GROUP, LLC | ABARIS FINANCIAL GROUP | AAM FINANCIAL PLANNING AND INVESTMENTS | 360° WEALTH ADVISOR...
CRD#: 155344 / SEC#: 801-72037
RIA
Registered Investment Advisory firm - (1/3/2011 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
14600 Branch St., Omaha, NE 68154
Mailing Address
Phone number
(402) 330-0808
Established
Firm type
Fiscal year end
# of Employees
1,314
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,944 |
| AUM (Assets Under Management) | $ 33,775,526,748 |
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.
