Seth Cave

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CRD#: 7374209

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.

Seth Cave, who also goes by Seth Daniel Cave, was a registered financial professional .

Seth is a previously registered financial professional and started their career in finance in 2021. Seth had worked at 3 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

Aliases

Seth Daniel Cave

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.

Seth Cave; Investment-related; Private residence in Omaha, NE; Insurance; Licensed Insurance Agent; Start date: 07/18/2022; Less than 5 hours per month; Less than 1 hour during trading per day; Sell insurance products. The Lawn Standard LLC; Not investment-related; Private residence in Omaha, NE; Lawn Care; Passive Investor; Start date: 01/13/2026; 5-10 hours/month; 0 hours during trading hours; Silent partner in a lawn and landscaping company.

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

April 15, 2024 - June 17, 2026

ELLERBROCK-NORRIS WEALTH STRATEGIES LLC

RIA

CRD#: 295099

OMAHA, NE

Past

July 1, 2022 - April 5, 2024

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

OMAHA, NE

Past

June 6, 2022 - April 5, 2024

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

OMAHA, NE

Past

July 7, 2021 - February 11, 2022

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

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".

ELLERBROCK-NORRIS WEALTH STRATEGIES LLC

ELLERBROCK-NORRIS WEALTH MANAGEMENT | ELLERBROCK-NORRIS WEALTH STRATEGIES LLC

CRD#: 295099 / SEC#: 801-132779

RIA

Registered Investment Advisory firm - (5/15/2025 Approved)

Nebraska

Registered Investment Advisory firm - (6/5/2025 Terminated)

Texas

Registered Investment Advisory firm - (6/5/2025 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: 6/27/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/16/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/7/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/31/2020

Securities Industry Essentials Examination

Current Firm

ELLERBROCK-NORRIS WEALTH STRATEGIES LLC

ELLERBROCK-NORRIS WEALTH MANAGEMENT | ELLERBROCK-NORRIS WEALTH STRATEGIES LLC

CRD#: 295099 / SEC#: 801-132779

RIA

Registered Investment Advisory firm - (5/15/2025 Approved)

Nebraska

Registered Investment Advisory firm - (6/5/2025 Terminated)

Texas

Registered Investment Advisory firm - (6/5/2025 Terminated)

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Contact information

Main Address

4331 North 156th Street, Omaha, NE 68116

Mailing Address

Phone number

(402) 884-1320

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2026-02-17 ELLERBROCK-NORRIS WEALTH STRATEGIES FORM ADV PART 2A (2/17/2026)

Regulatory assets under management

Total Number of Accounts	342
AUM (Assets Under Management)	$ 171,618,658

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.

Contact information

xxxxx@xxxx.xxx

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Seth Cave

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

ELLERBROCK-NORRIS WEALTH STRATEGIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/27/2022

Series 63

Date: 7/16/2021

Series 7TO

Date: 7/7/2021

SIE

Date: 12/31/2020

Current Firm

ELLERBROCK-NORRIS WEALTH STRATEGIES LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ELLERBROCK-NORRIS WEALTH STRATEGIES LLC

TRUST BUT VERIFY

Contact information

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