SW
Sean Williams
CETERA INVESTMENT ADVISERS LLC
Maitland, FL 32751
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CRD#: 6881402
SW
Professional summary
Sean Williams is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Maitland, Florida and CETERA WEALTH SERVICES, LLC located in Maitland, Florida.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Sean has worked at 3 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. EVERSHORE FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 11/01/2017 ADDRESS: , Palm Beach Gardens FL , United States DESCRIPTION: Agent/Broker 2. WAYNE DENSCH INC. POSITION: Owner NATURE: Business Owner INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2021 ADDRESS: 2900 W 1st St, Sanford FL 32771, United States DESCRIPTION: Wayne Densch is a family owner Anheuser Busch Distributorship; 3. NAME OF OTHER BUSINESS: LEONARD AND MARJORIE WILLIAMS FAMILY FOUNDATION, INC.; INVESTMENT RELATED: NO; ADDRESS: 1603 E MARKS ST, ORLANDO, FL 32803; NATURE OF BUSINESS: BOARD; START DATE: 2/2023; POSITION/TITLE/RELATIONSHIP: DIRECTOR; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: BUDGET FOR ANNUAL SPENDING & DECISION ON GIFTING PROPOSALS; 4. NAME OF OTHER BUSINESS: WAYNE M. DENSCH CHARITIES, INC; INVESTMENT RELATED: NO; ADDRESS: 1603 E MARKS ST, ORLANDO, FL 32803; NATURE OF BUSINESS: BOARD; START DATE: 2/2023; POSITION/TITLE/RELATIONSHIP: DIRECTOR; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: BUDGET, DECISIONS ON GIFTING PROPOSALS, AND TAKING PART IN EVENTS WITH CHARITABLE ORGANIZATIONS; 5. NAME OF OTHER BUSINESS: EVERSHORE FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 01/2018; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 50; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Sean Williams'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
June 23, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1750 N Maitland Ave, Maitland, FL 32751RIA
CRD#: 105644
Maitland, FL
Current
June 14, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1750 N Maitland Ave, Maitland, FL 32751BD
CRD#: 13572
Maitland, FL
Past
January 18, 2018 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
Maitland, FL
Past
December 13, 2017 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
Maitland, 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
Arizona(8/10/2023)
RR
Arkansas(10/22/2024)
RR
Delaware(8/10/2023)
RR
Florida(6/14/2023)
IAR
Florida(6/23/2023)
RR
Georgia(8/10/2023)
RR
Illinois(1/4/2024)
RR
Missouri(8/10/2023)
RR
Montana(10/21/2024)
RR
North Carolina(8/10/2023)
RR
Pennsylvania(8/10/2023)
RR
South Carolina(8/10/2023)
RR
Virginia(8/10/2023)
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.
