SK
Sean W. Kramer
CETERA INVESTMENT ADVISERS LLC
DALLAS, TX 75019
Some features on this profile are disabled
CRD#: 6615447
SK
Professional summary
Sean William Kramer, who also goes by Sean William Kramer, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dallas, Texas and CETERA INVESTMENT SERVICES LLC located in Dallas, Texas.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Sean has worked at 9 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sean William Kramer
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.
TDM Fitness LLC~'NIR'~3104 Lake Creek Dr.~Lewisville~TX~75077~Other~Other~1/9/2019~32hrs~0hrs~My primary role will be an Instructor leading Pilates classes.|
CRS (Client Relationship Summary) - RIA
Click below to view Sean William Kramer'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: 3200 Olympus Blvd Suite 100, Dallas, TX 75019RIA
CRD#: 105644
DALLAS, TX
Current
August 22, 2024 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019BD
CRD#: 15340
DALLAS, TX
Current
August 22, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019Office #3: 3200 Olympus Blvd Suite 100, Dallas, TX 75019BD
CRD#: 13572
DALLAS, TX
Current
August 22, 2024 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019BD
CRD#: 10358
DALLAS, TX
Current
August 22, 2024 - Present
CETERA ADVISORS LLC
Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019BD
CRD#: 10299
DALLAS, TX
Past
December 1, 2016 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
DALLAS, TX
Past
December 1, 2016 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
Past
March 24, 2016 - December 31, 2016
EDI INVESTMENT ADVISOR CORPORATION
RIA
CRD#: 124129
IRVING, TX
Past
March 16, 2016 - December 31, 2016
EDI FINANCIAL, INC.
BD
CRD#: 15699
Miami Beach, FL
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(9/8/2025)
RR
Alaska(9/8/2025)
RR
Arizona(9/8/2025)
RR
Arkansas(9/8/2025)
RR
California(9/8/2025)
RR
Colorado(9/8/2025)
RR
Connecticut(9/8/2025)
RR
Delaware(9/8/2025)
RR
District of Columbia(9/8/2025)
RR
Florida(9/8/2025)
RR
Georgia(9/8/2025)
RR
Hawaii(9/8/2025)
RR
Idaho(9/8/2025)
RR
Illinois(9/8/2025)
RR
Indiana(9/8/2025)
RR
Iowa(9/8/2025)
RR
Kansas(9/8/2025)
RR
Kentucky(9/8/2025)
RR
Louisiana(9/8/2025)
RR
Maine(9/8/2025)
RR
Maryland(9/8/2025)
RR
Massachusetts(9/8/2025)
RR
Michigan(9/8/2025)
RR
Minnesota(9/8/2025)
RR
Mississippi(9/8/2025)
RR
Missouri(9/8/2025)
RR
Montana(9/8/2025)
RR
Nebraska(9/8/2025)
RR
Nevada(9/8/2025)
RR
New Hampshire(9/8/2025)
RR
New Jersey(9/8/2025)
RR
New Mexico(9/8/2025)
RR
New York(9/8/2025)
RR
North Carolina(9/8/2025)
RR
North Dakota(9/8/2025)
RR
Ohio(9/8/2025)
RR
Oklahoma(9/8/2025)
RR
Oregon(9/8/2025)
RR
Pennsylvania(9/8/2025)
RR
Puerto Rico(9/8/2025)
RR
Rhode Island(9/8/2025)
RR
South Carolina(9/8/2025)
RR
South Dakota(9/8/2025)
RR
Tennessee(9/8/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Utah(9/8/2025)
RR
Vermont(9/8/2025)
RR
Virgin Islands(9/8/2025)
RR
Virginia(9/8/2025)
RR
Washington(9/8/2025)
RR
West Virginia(9/8/2025)
RR
Wisconsin(9/8/2025)
RR
Wyoming(9/8/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 11/3/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
