SC
Sean R. Cooney
CETERA INVESTMENT ADVISERS LLC
ST LOUIS, MO 63110
Some features on this profile are disabled
CRD#: 6972802
SC
Professional summary
Sean Robert Cooney, who also goes by Sean Robert Cooney, Sean Cooney, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in St Louis, Missouri and CETERA WEALTH SERVICES, LLC located in St. Louis, Missouri.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Sean has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sean Robert Cooney | Sean Cooney
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. CO-OP FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/29/2020 ADDRESS: 12250 El Camino Real Ste 160, San Diego CA 92130, United States DESCRIPTION: RFC advisors use Co-Op Insurance Services to obtain underwriting for difficult cases. 2. RF BROKERAGE-FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/29/2020 ADDRESS: 5700 Oakland Avenue Ste 400, St. Louis MO 63110, United States DESCRIPTION: RFC Advisors place health insurance coverage for individuals and entities through RF Brokerage; 3. NAME OF OTHER BUSINESS: CYSTIC FIBROSIS FOUNDATION- GATEWAY CHAPTER, INVESTMENT RELATED: NO, ADDRESS: 10900 MANCHESTER RD #206, SAINT LOUIS, MO 63122, NATURE OF BUSINESS: COMMITTEE LEADER, START DATE: 04/2024, POSITION/TITLE/RELATIONSHIP: COMMITTEE LEADER, APX NUMBER OF HOURS PER WEEK: 2, APX NUMBER OF HOURS DURING TRADING HOURS: 1, BRIEF DESCRIPTION OF DUTIES: PLANNING CHARITY EVENT, FINDING SPONSORS, AUCTION ITEMS, LEADING PLANNING MEETINGS;
CRS (Client Relationship Summary) - RIA
Click below to view Sean Robert Cooney'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
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5700 Oakland Ave Ste 400, St Louis, MO 63110RIA
CRD#: 105644
ST LOUIS, MO
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5700 Oakland Avenue Suite 400, St. Louis, MO 63110BD
CRD#: 13572
St. Louis, MO
Past
November 2, 2020 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
ST. LOUIS, MO
Past
July 7, 2020 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. LOUIS, MO
Past
September 30, 2019 - January 21, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
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(8/1/2025)
RR
California(4/24/2025)
RR
Colorado(8/10/2023)
RR
Florida(8/16/2023)
RR
Illinois(8/10/2023)
RR
Kansas(8/29/2023)
RR
Missouri(8/10/2023)
IAR
Missouri(8/10/2023)
RR
North Carolina(8/21/2025)
RR
Ohio(2/18/2025)
RR
Tennessee(10/31/2024)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Washington(8/10/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/30/2019
General Securities Representative ExaminationGeneral 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.
