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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

Sean Deming

Advisor at CETERA INVESTMENT ADVISERS LLC

BALA CYNWYD, PA

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Search this name across graphsid dfx:ria:6937c614-dc96-ef36-d6b6-dd842b37e100

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Aug 27, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 29, 1990earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Nov 29, 1990
First registration: Aug 27, 2001
Dual registered: yes, broker-dealer
Other names: SEAN FILLMORE DEMING
IAPD individual key: 2007334

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Sep 1, 2026	n/a	yes	BALA CYNWYD, PA	Current employment
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Jan 3, 2020	Jul 10, 2025	no	NEWTOWN, PA	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Aug 10, 2016	Jan 3, 2020	no	Princeton, NJ\|Bridgewater, NJ	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	May 4, 2004	May 19, 2015	no	MILL VALLEY, CA\|SAN FRANCISCO, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Aug 27, 2001	May 4, 2004	no	SAN FRANCISCO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
RAYMOND JAMES & ASSOCIATES, INC.	CETERA INVESTMENT ADVISERS LLC	Jul 10, 2025	Sep 1, 2026	418	Firm change after gap	Ibd to ibd
CHARLES SCHWAB & CO., INC.	RAYMOND JAMES & ASSOCIATES, INC.	Jan 3, 2020	Jan 3, 2020	0	Firm change	Ibd to ibd
OPPENHEIMER & CO. INC.	CHARLES SCHWAB & CO., INC.	May 19, 2015	Aug 10, 2016	449	Firm change after gap	Other
MORGAN STANLEY DW INC.	OPPENHEIMER & CO. INC.	May 4, 2004	May 4, 2004	0	Firm change	Other

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Sep 1, 2026 to presentfactForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Jan 3, 2020 to Jul 10, 2025factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Aug 10, 2016 to Jan 3, 2020factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
May 4, 2004 to May 19, 2015factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Aug 27, 2001 to May 4, 2004factForm ADV

Dated events

Occurred
Jul 10, 2025
Advisor changed firm
Sean Deming left Raymond James & Associates, Inc. for Cetera Investment Advisers Llc (registered 2026-09-01)
Form ADVobserved 6 days ago