SB
Sean R. Becker
CETERA INVESTMENT ADVISERS LLC
BALDWINSVILLE, NY 13027
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CRD#: 5234679
SB
Professional summary
Sean R Becker, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Baldwinsville, New York and CETERA WEALTH SERVICES, LLC located in Baldwinsville, New York.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Sean 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.
1.FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; SAME AS REGISTERED LOCATION; FIXED INSURANCE; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; SELLS LIFE, DISABILITY, ANNUITIES, LONG TERM CARE AND PROPERTY & CASUALTY; 2. HATHAWAY INVESTMENTS; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: PAY PAYROLL FOR STAFF; START DATE: 08/2015; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; DUTIES: PAY PAYROLL FOR STAFF; 3. HORAN COMPANIES INC. INVESTMENT RELATED: NO SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: INSURANCE START DATE: 01/2015 POSITION/TITLE/RELATIONSHIP: AGENT & PRINCIPAL APX NUMBER OF HOURS PER WEEK: 20 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES SELL PROPERTY, CASUALTY & LIFE INSURANCE 4. NAME OF OTHER BUSINESS: BERKSHIRE HATHAWAY HOLDINGS LLC; INVESTMENT RELATED: NO; ADDRESS: P.O. BOX 671, BALDWINSVILLE, NY 13027; NATURE OF BUSINESS: REAL ESTATE; START DATE: 1/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: <1; APX NUMBER OF HOURS DURING TRADING HOURS: <1; DUTIES: REAL ESTATE OWNERSHIP; 5. DBA PRIME AGENCIES CLUSTER OF CNY, LLC. INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED NATURE OF BUSINESS: P&C INSURANCE START DATE: 04/01/2016 POSITION/TITLE/RELATIONSHIP: 25% OWNER APX NUMBER OF HOURS PER WEEK: N/A APX NUMBER OF HOURS DURING TRADING HOURS: N/A NAME FOR P&C BUSINESSES. 6.BALDWINSVILLE ROTARY FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: PO BOX 713, BALDWINSVILLE, NY 13027; NATURE OF BUSINESS: ROTARY CLUB; START DATE: 01/2019; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; DISCUSS PROJECTS TO WORK WITHIN THE COMMUNITY; 7. DBA HORAN WEALTH MANAGEMENT ; INVESTMENT RELATED: YES ; SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 01/2020 ; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: 20 ; APX NUMBER OF HOURS DURING TRADING HOURS: 20 ; SELLING LIFE, LONG TERM CARE AND DISABILITY INSURANCE; 8. NAME OF OTHER BUSINESS: NOTARY INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: NOTARIAL SERVICES START DATE: 01/2020 POSITION/TITLE/RELATIONSHIP: NOTARY, APX NUMBER OF HOURS PER WEEK: 1, MAY BE DURING TRADING HOURS, DUTIES: PROVIDING NOTARY SERVICES 9. NAME OF OTHER BUSINESS BREAKFAST BROKERS; INVESTMENT RELATED: NO; ADDRESS: P O BOX 667 SYRACUSE, NY NATURE OF BUSINESS: NETWORKING GROUP; START DATE: 7/2023; POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; DUTIES: NETWORKING GROUP, ATTEND MEETINGS; 10. NAME OF OTHER BUSINESS: BALDWINSVILLE MARCHING BAND BOOSTER CLUB; INVESTMENT RELATED: NO; ADDRESS: 29 E ONEIDA ST, BALDWINSVILLE, NY 13027; NATURE OF BUSINESS: BOARD; START: 7/2024; TITLE: BOARD MEMBER; APX # OF HRS/WK: 1; APX # OF HRS DUR TRD HRS: 0; DUTIES: PARTICIPATE IN PLANNING OF ACTIVITIES; 11. NAME OF OTHER BUSINESS: ROTARY CLUB OF BALDWINSVILLE; INVESTMENT RELATED: NO; ADDRESS: PO BOX 713, BALDWINSVILLE, NY 13027; NATURE OF BUSINESS: BOARD; START: 7/2024; TITLE: BOARD MEMBER; APX # OF HRS/WK: 1; APX # OF HRS DUR TRD HRS: 0; DUTIES: HELP PLAN, SCHEDULE, AND COORDINATE CLUB ACTIVITIES;
CRS (Client Relationship Summary) - RIA
Click below to view Sean R Becker'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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 136 East Genesee St, Baldwinsville, NY 13027RIA
CRD#: 105644
BALDWINSVILLE, NY
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 63 E Genesee Street, Baldwinsville, NY 13027BD
CRD#: 13572
Baldwinsville, NY
Past
August 14, 2018 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
BALDWINSVILLE, NY
Past
March 27, 2009 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
BALDWINSVILLE, NY
Past
November 30, 2006 - April 15, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SYRACUSE, 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
Alabama(9/3/2013)
RR
California(9/3/2013)
RR
Colorado(1/4/2023)
RR
Connecticut(9/13/2019)
RR
Florida(9/3/2013)
RR
Georgia(11/3/2021)
RR
Maryland(6/28/2023)
RR
Massachusetts(9/3/2013)
RR
Michigan(2/27/2019)
RR
Missouri(6/28/2023)
RR
New Hampshire(4/13/2018)
RR
New York(9/3/2013)
IAR
New York(6/29/2023)
RR
North Carolina(12/5/2017)
RR
Ohio(3/28/2025)
RR
Pennsylvania(12/5/2013)
RR
South Carolina(3/17/2015)
RR
Tennessee(1/5/2022)
RR
Texas(4/16/2015)
IAR
Texas(6/29/2023)
RR
Vermont(1/6/2020)
RR
Virginia(8/4/2023)
Exams
State Security Law Exam
General 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
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Baldwinsville, NY 13027TRUST BUT VERIFY
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