DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Sean Thomas Keating

Cetera Investment Advisers LLCBD affiliatedTinton Falls, Njdual registrantIAPD 4309000

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/14/2026

Also filed as Sean Thomas Keating

At current firm

2 y

since Feb 2, 2024

In the industry

24 y

since Jun 20, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Cetera Investment Advisers LLC BD affiliated current
since Feb 2, 2024 · Tinton Falls, Nj
Nfsg Corporation BD affiliated
Oct 4, 2021 to Feb 2, 2024 · Sea Girt, Nj
LPL Financial LLC BD affiliated
Jan 28, 2021 to Oct 5, 2021 · Sea Girt, Nj
Regal Advisory Services, Inc. independent RIA
Oct 28, 2016 to Mar 2, 2021 · Sea Girt, Nj
Gwn Securities Inc. BD affiliated
Apr 6, 2015 to Jun 21, 2016 · Palm Beach Gardens, Fl
Patriot Financial Advisors unclassified
Nov 15, 2010 to Apr 1, 2015 · Eatontown, Nj

Moves

a registration end followed by a registration begin elsewhere

Nfsg Corporation to Cetera Investment Advisers LLC
left Feb 2, 2024, registered Feb 2, 2024 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
LPL Financial LLC to Nfsg Corporation
left Oct 5, 2021, registered Oct 4, 2021 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
Regal Advisory Services, Inc. to LPL Financial LLC
left Mar 2, 2021, registered Jan 28, 2021 (-33 days) · RIA to affiliated broker-dealer or bank · moved with a team
Gwn Securities Inc. to Regal Advisory Services, Inc.
left Jun 21, 2016, registered Oct 28, 2016 (129 days) · Other
Patriot Financial Advisors to Gwn Securities Inc.
left Apr 1, 2015, registered Apr 6, 2015 (5 days) · Other

Signals

Sean Thomas Keating left Nfsg Corporation for Cetera Investment Advisers Llc (registered 2024-02-02)
Feb 2, 2024 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address