Kevin E. Seales

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CRD#: 6549441

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kevin Edward Seales, who also goes by Kevin E Seales, Kevin Seales, was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 2015. Kevin had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kevin E Seales | Kevin Seales

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 29, 2025 - May 5, 2026

EVEREST FINANCIAL GROUP

RIA

CRD#: 137260

MINNEAPOLIS, MN

Past

May 16, 2025 - May 27, 2025

OSAIC WEALTH, INC.

RIA

CRD#: 23131

MINNEAPOLIS, MN

Past

May 16, 2025 - May 8, 2026

OSAIC WEALTH, INC.

CRD#: 23131

MINNEAPOLIS, MN

Past

May 24, 2023 - May 19, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WAYZATA, MN

Past

February 21, 2023 - May 19, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WAYZATA, MN

Past

February 3, 2017 - March 9, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

December 15, 2015 - March 9, 2018

SCOTTRADE, INC.

CRD#: 8206

BROOKFIELD, WI

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".

EVEREST FINANCIAL GROUP

EVEREST FINANCIAL GROUP | SINCERE FINANCIAL LTD | EVEREST FINANCIAL GROUP LLC

CRD#: 137260 / SEC#: 801-67635

RIA

Registered Investment Advisory firm - (3/30/2007 Approved)

California

Registered Investment Advisory firm - (5/8/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/23/2023

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/20/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/21/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/20/2022

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/15/2015

General Securities Representative Examination

Current Firm

EVEREST FINANCIAL GROUP

EVEREST FINANCIAL GROUP | SINCERE FINANCIAL LTD | EVEREST FINANCIAL GROUP LLC

CRD#: 137260 / SEC#: 801-67635

RIA

Registered Investment Advisory firm - (3/30/2007 Approved)

California

Registered Investment Advisory firm - (5/8/2007 Terminated)

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Contact information

Main Address

701 Xenia Ave S Suite 250, Minneapolis, MN 55416-1029

Mailing Address

Phone number

(763) 923-7525

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EVEREST FINANCIAL GROUP ADV BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts	4,667
AUM (Assets Under Management)	$ 912,366,781

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.

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Advisor Monitoring

Firm Stability Insights

Kevin E. Seales

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EVEREST FINANCIAL GROUP

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

Primary Firm SEC Registration

EVEREST FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 5/23/2023

Series 63

Date: 1/20/2016

Series 7TO

Date: 2/21/2023

SIE

Date: 8/20/2022

Series 7

Date: 12/15/2015

Current Firm

EVEREST FINANCIAL GROUP

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EVEREST FINANCIAL GROUP

TRUST BUT VERIFY

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