Seth D. Cave

ELLERBROCK-NORRIS WEALTH STRATEGIES LLC | Financial Advisor

Omaha, NE 68116

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CRD#: 7374209

Professional summary

Seth Daniel Cave, who also goes by Seth Cave, is a registered financial advisor currently at ELLERBROCK-NORRIS WEALTH STRATEGIES LLC located in Omaha, Nebraska.

Seth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Seth has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Seth 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 4331 N 156th St, Omaha, NE 68116 insurance Licensed Insurance Agent 07/18/2022 less than 5 hours per month less than 1 hour during trading per day sell insurance products

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seth Daniel Cave's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 15, 2024 - Present

ELLERBROCK-NORRIS WEALTH STRATEGIES LLC

Office #1: 4331 North 156th Street, Omaha, NE 68116

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Nebraska
(4/15/2024)

IAR

Texas
(5/6/2025)

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

2025-04-14 ELLERBROCK-NORRIS WEALTH STRATEGIES FORM ADV PART 2A (4/14/2025)

Regulatory assets under management

Total Number of Accounts	277
AUM (Assets Under Management)	$ 110,551,716

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 D. Cave

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seth Daniel Cave's CRS (Customer 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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