SP
Sean M. Patton
CETERA INVESTMENT ADVISERS LLC
WENATCHEE, WA 98801
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CRD#: 6269162
SP
Professional summary
Sean Michael Patton is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wenatchee, Washington and CETERA WEALTH SERVICES, LLC located in Wenatchee, Washington.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Sean has worked at 6 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) CNC FINANCIAL GROUP POSITION: FINANCIAL ADVISOR NATURE: WEALTH MANAGEMENT AND ADVISORY SERVICES INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 08/12/2014 ADDRESS: Ste 1, Wenatchee WA 98801, United States DESCRIPTION: Financial Services Advisor 2) WENATCHEE VALLEY YMCA POSITION: Board Member NATURE: Current Treasurer INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 05/31/2012 ADDRESS: 217 Orondo Ave, Wenatchee WA 98801, United States DESCRIPTION: Maintain ethical practice through unbiased and non-partisan leadership. Attend meetings of the Board of Directors; Assistthe Board to policy decisions in accordance with The Strategic Plan; Serve on the Finance Committee Serve as a member of other committees and attend their meetings as needed and when possible; 3) PENNY PROPERTIES, LLC POSITION: Member NATURE: Commerical building rental, of which Cordell Neher & Company, PLLC ("CNC") and CNC Financial Group, LLC ("CNCFG") are tenants. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/28/2017 ADDRESS: 175 E. Penny Rd, Wenatchee WA 98801, United States DESCRIPTION: Member/owner, no significant duties, passive commerical self rental property 4) CORDELL, NEHER & COMPANY, PLLC POSITION: Member NATURE: Public Accounting Firm INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 03/15/2003 ADDRESS: 175 E. Penny Road, Suite 1, Wenatchee WA 98801, United States DESCRIPTION: CPA, LLC Member
CRS (Client Relationship Summary) - RIA
Click below to view Sean Michael Patton'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 175 E. Penny Road Suite 1, Wenatchee, WA 98801RIA
CRD#: 105644
WENATCHEE, WA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 175 E. Penny Road Suite 1, Wenatchee, WA 98801BD
CRD#: 13572
WENATCHEE, WA
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
WENATCHEE, WA
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
WENATCHEE, WA
Past
August 11, 2014 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
WENATCHEE, WA
Past
July 17, 2014 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
WENATCHEE, WA
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(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Idaho(9/5/2025)
RR
Illinois(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
Nevada(9/5/2025)
RR
New Hampshire(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Ohio(9/5/2025)
RR
Utah(9/5/2025)
RR
Washington(9/5/2025)
IAR
Washington(9/5/2025)
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.
