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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

SEAN PATRICK KEANE

Advisor at FIRST TRUST ADVISORS LP

WHEATON, IL | FRANKLIN, TN

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Search this name across graphsid dfx:ria:cba11afa-19e6-a71c-8e7d-d8d68d3ca743

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 3, 2014 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: FIRST TRUST ADVISORS LP
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 3, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jul 3, 2014
First registration: Jul 3, 2014
Dual registered: yes, broker-dealer
IAPD individual key: 5940470

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
FIRST TRUST ADVISORS LP	Asset manager	Apr 2, 2019	n/a	yes	WHEATON, IL\|FRANKLIN, TN	Current employment
TRUIST ADVISORY SERVICES, INC.	Bd affiliated wealth	Aug 19, 2016	Nov 20, 2018	no	NASHVILLE, TN\|NASHVILLE, TN	Previous registration
SUNTRUST INVESTMENT SERVICES, INC.	Former SEC adviser	Aug 19, 2016	Dec 31, 2016	no	NASHVILLE, TN\|NASHVILLE, TN\|NASHVILLE, TN\|VIENNA, VA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jul 3, 2014	Jul 19, 2016	no	SIOUX CITY, IA	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
TRUIST ADVISORY SERVICES, INC.	FIRST TRUST ADVISORS LP	Nov 20, 2018	Apr 2, 2019	133	Firm change	Other
SUNTRUST INVESTMENT SERVICES, INC.	TRUIST ADVISORY SERVICES, INC.	Dec 31, 2016	Aug 19, 2016	-134	Bulk transfer	Other
AMERIPRISE FINANCIAL SERVICES, LLC	SUNTRUST INVESTMENT SERVICES, INC.	Jul 19, 2016	Aug 19, 2016	31	Firm change	Other

Relationships

Registered with (4)

→ FIRST TRUST ADVISORS LPRegistered adviserregistration: current employment
Apr 2, 2019 to presentfactForm ADV
→ TRUIST ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Aug 19, 2016 to Nov 20, 2018factForm ADV
→ SUNTRUST INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Aug 19, 2016 to Dec 31, 2016factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jul 3, 2014 to Jul 19, 2016factForm ADV

Dated events

No dated event names this entity yet.