Sean T. Keating
Professional summary
Sean Thomas Keating, CFP®, ChFC®, who also goes by Sean T Keating, Sean Keating, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Shrewsbury, New Jersey and CETERA WEALTH SERVICES, LLC located in Shrewsbury, New Jersey.
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 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3, Series 21, Series 25 and Series 14A exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Sean Thomas Keating's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2010
Experience
February 2, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1151 Broad Street Suite 305, Shrewsbury, NJ 07702February 1, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1151 Broad Street Suite 305, Shrewsbury, NJ 07702October 4, 2021 - February 2, 2024
NFSG CORPORATION
September 29, 2021 - February 2, 2024
NEWBRIDGE SECURITIES CORPORATION
January 28, 2021 - October 5, 2021
LPL FINANCIAL LLC
January 27, 2021 - October 5, 2021
LPL FINANCIAL LLC
October 28, 2016 - March 2, 2021
REGAL ADVISORY SERVICES, INC.
October 26, 2016 - March 2, 2021
REGAL SECURITIES, INC.
April 22, 2015 - June 21, 2016
GWN SECURITIES INC.
April 6, 2015 - June 21, 2016
GWN SECURITIES INC.
November 15, 2010 - April 1, 2015
PATRIOT FINANCIAL ADVISORS
July 18, 2006 - May 13, 2009
UBS FINANCIAL SERVICES INC.
May 25, 2001 - July 13, 2006
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
March 20, 2001 - July 13, 2006
REDI GLOBAL TECHNOLOGIES LLC
October 1, 2000 - March 20, 2001
BENJAMIN JACOBSON & SONS, L.L.C.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/1/2024)
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(5/20/2024)
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(2/5/2024)
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(2/5/2026)
(6/20/2025)
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(1/2/2026)
(2/1/2024)
Exams
Series 21
Date: 1/31/2002
NYSE Front Line Specialist ClerkSeries 25
Date: 3/17/1999
NYSE Trading Assistant ExaminationSeries 14A
Date: 1/28/2004
Compliance Official Specialist ExamFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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 |
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.
