Sean P. Keating
Professional summary
Sean Patrick Keating, who also goes by Sean Keating, is a registered financial advisor currently at DIMENSIONAL FUND ADVISORS LP located in Charlotte, North Carolina and DFA SECURITIES LLC located in Charlotte, North Carolina.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Sean has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Sean Patrick Keating's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 13, 2024 - Present
DIMENSIONAL FUND ADVISORS LP
Office #1: 1515 S Tryon St, Charlotte, NC 28203November 13, 2024 - Present
DFA SECURITIES LLC
Office #1: 1515 South Tryon Street, Charlotte, NC 28203August 23, 2023 - November 13, 2024
VANGUARD ADVISERS, INC.
August 27, 2021 - November 13, 2024
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
DIMENSIONAL FUND ADVISORS LP
CRD#: 106482 / SEC#: 801-16283
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/13/2024)
(11/13/2024)
Exams
Series 7TO
Date: 8/27/2021
General Securities Representative ExaminationFINRA
Current Firm
DIMENSIONAL FUND ADVISORS LP
CRD#: 106482 / SEC#: 801-16283
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,611 |
| AUM (Assets Under Management) | $ 835,713,261,770 |
Red Flags
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