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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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Shaun James Sackett

Shaun J. Sackett

SACKETT WEALTH ADVISORS
Brea, CA 92821
Some features on this profile are disabled
CRD#: 5159743
Shaun James Sackett

Professional summary

Shaun James Sackett, CFP® is a registered financial advisor currently at SACKETT WEALTH ADVISORS, INC. located in Brea, California.

Shaun is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Shaun has worked at 4 firms and has passed the Series 66, SIE and Series 7 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shaun James Sackett's CRS (Customer Relationship Summary).
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®

Certified Financial Planner

Start date: 2017

Experience

Current

October 31, 2017 - Present

SACKETT WEALTH ADVISORS, INC.

Office #1: 915 W. Imperial Highway, Suite 160, Brea, CA 92821
RIA
CRD#: 289950
Brea, CA
Past

February 23, 2012 - November 1, 2017

INDEPENDENT FINANCIAL GROUP, LLC

RIA
CRD#: 7717
BREA, CA
Past

February 22, 2012 - November 1, 2017

INDEPENDENT FINANCIAL GROUP, LLC

BD
CRD#: 7717
BREA, CA
Past

November 21, 2011 - February 29, 2012

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
BREA, CA
Past

September 1, 2010 - February 29, 2012

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
BREA, 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".
SW
SACKETT WEALTH ADVISORS, INC.
SACKETT FINANCIAL GROUP | SACKETT WEALTH ADVISORS, INC.

CRD#: 289950 / SEC#: 801-111930

RIA
Registered Investment Advisory firm - (10/31/2017 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.

Highlighted states indicate IAR registrations

IAR
California
(10/31/2017)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/18/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/1/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/31/2010
General Securities Representative Examination

Current Firm

SW
SACKETT WEALTH ADVISORS, INC.
SACKETT FINANCIAL GROUP | SACKETT WEALTH ADVISORS, INC.

CRD#: 289950 / SEC#: 801-111930

RIA
Registered Investment Advisory firm - (10/31/2017 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
915 W. Imperial Highway, Suite 160, Brea, CA 92821
Mailing Address
Phone number
(714) 671-9330
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (3/17/2026)

Regulatory assets under management

Total Number of Accounts959
AUM (Assets Under Management)$ 212,277,685

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.

Company Information

SACKETT WEALTH ADVISORS, INC.

CRD#: 289950Brea, CA 92821

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