Sean T. Keating
CETERA INVESTMENT ADVISERS LLC
Shrewsbury, NJ 07702
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CRD#: 4309000
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
Are you a "fiduciary"?
Yes
Aliases
Sean T Keating | Sean Keating
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: ROSSO FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES POSITION/TITLE/RELATIONSHIP: SENIOR FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE INSURANCE, SECURITIES AND ADVISORY SERVICES 2. NAME OF OTHER BUSINESS: ELK BOOKKEEPING LLC (DBA PATRIOT FINANCIAL ADVISORS OR PATRIOT TAX SERVICES) INVESTMENT RELATED: NO ADDRESS: 208 ATLANTIC AVE, LONG BRANCH, NJ 07740 NATURE OF BUSINESS: TAX SERVICES START DATE: 02/2013 APX NUMBER OF HOURS PER WEEK: 20 APX NUMBER OF HOURS DURING TRADING HOURS: 5 POSITION/TITLE/RELATIONSHIP: TAX PREPARER BRIEF DESCRIPTION OF DUTIES: ELK BOOKKEEPING IS AN LLC OWNED BY MY WIFE. SHE DOES THE BOOKKEEPING AND I COLLECT FEES FOR TAX SERVICES UNDER THE LLC NAME. COMPLETE TAX RETURNS, RESOLVE TAX ISSUES. 3. NAME OF OTHER BUSINESS: ASSOCIATION OF US ARMY INVESTMENT RELATED: NO ADDRESS: PO BOX 497, EATONTOWN, NJ 07724 NATURE OF BUSINESS: BOARD FIDUCIARY POSITION START DATE: 10/2019 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: TREASURER BRIEF DESCRIPTION OF DUTIES: MAKE DEPOSITS AND INFORM THE BOARD OF FINANCIAL HEALTH AND AVAILABLE FUNDS TO DONATE. 4. NAME OF OTHER BUSINESS: JERSEY SHORE CHAMBER OF COMMERCE INVESTMENT RELATED: NO ADDRESS: 1856 NJ-35, WALL, NJ, 07719 NATURE OF BUSINESS: BOARD FIDUCIARY POSITION START DATE: 06/2017 POSITION/TITLE/RELATIONSHIP: GENERAL BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: ONCE A MONTH, WE REVIEW CHAMBER ACTIVITIES AND DISCUSS NEW NETWORKING EVENTS 5. NAME OF OTHER BUSINESS: KAPLAN FINANCIAL EDUCATION INVESTMENT RELATED: NO ADDRESS: 1801 E KIMBERLY RD, DAVENPORT, IA 52807 NATURE OF BUSINESS: TEACH FINANCIAL INFORMATION START DATE: 01/2023 POSITION/TITLE/RELATIONSHIP: INSTRUCTOR APX NUMBER OF HOURS PER WEEK: 3 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: TEACH FINANCIAL INFORMATION, MOST CLIENTS WILL BE WORKNG AT OTHER BDS TRAINING FOR INDUSTRY EXAMS.
CRS (Client Relationship Summary) - RIA
Click below to view Sean Thomas Keating'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®
CFP®
Start date: 2010
Experience
Current
February 2, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1151 Broad Street Suite 305, Shrewsbury, NJ 07702RIA
CRD#: 105644
Shrewsbury, NJ
Current
February 1, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1151 Broad Street Suite 305, Shrewsbury, NJ 07702BD
CRD#: 13572
Shrewsbury, NJ
Past
October 4, 2021 - February 2, 2024
NFSG CORPORATION
RIA
CRD#: 130814
SEA GIRT, NJ
Past
September 29, 2021 - February 2, 2024
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
SEA GIRT, NJ
Past
January 28, 2021 - October 5, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
SEA GIRT, NJ
Past
January 27, 2021 - October 5, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
SEA GIRT, NJ
Past
October 28, 2016 - March 2, 2021
REGAL ADVISORY SERVICES, INC.
RIA
CRD#: 123842
Sea Girt, NJ
Past
October 26, 2016 - March 2, 2021
REGAL SECURITIES, INC.
BD
CRD#: 7297
GLENVIEW, IL
Past
April 22, 2015 - June 21, 2016
GWN SECURITIES INC.
BD
CRD#: 128929
Somerville, NJ
Past
April 6, 2015 - June 21, 2016
GWN SECURITIES INC.
RIA
CRD#: 128929
Somerville, NJ
Past
November 15, 2010 - April 1, 2015
PATRIOT FINANCIAL ADVISORS
RIA
CRD#: 155120
EATONTOWN, NJ
Past
July 18, 2006 - May 13, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
May 25, 2001 - July 13, 2006
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
BD
CRD#: 3466
NEW YORK, NY
Past
March 20, 2001 - July 13, 2006
REDI GLOBAL TECHNOLOGIES LLC
BD
CRD#: 41924
NEW YORK, NY
Past
October 1, 2000 - March 20, 2001
BENJAMIN JACOBSON & SONS, L.L.C.
BD
CRD#: 35079
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
Arizona(2/1/2024)
RR
California(2/1/2024)
RR
Colorado(2/1/2024)
RR
Connecticut(2/1/2024)
RR
Florida(2/1/2024)
RR
Kentucky(2/1/2024)
RR
Maryland(2/1/2024)
RR
Massachusetts(5/20/2024)
RR
New Jersey(2/1/2024)
IAR
New Jersey(2/2/2024)
RR
New York(2/1/2024)
RR
North Carolina(2/5/2024)
RR
Oregon(2/1/2024)
RR
Pennsylvania(2/1/2024)
RR
South Carolina(2/1/2024)
RR
Texas(6/20/2025)
IAR
Texas(6/20/2025)
RR
Virginia(2/1/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 21
Date: 1/31/2002
NYSE Front Line Specialist ClerkGeneral Industry/Product Exam
RR
Series 25
Date: 3/17/1999
NYSE Trading Assistant ExaminationPrincipal/Supervisory Exam
RR
Series 14A
Date: 1/28/2004
Compliance Official Specialist ExamSRO 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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Shrewsbury, NJ 07702TRUST BUT VERIFY
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