Sean Thomas Keating

Current Employers

Employment History

• 11/2016 → 01/2021
  Regal Securities Inc
  Chicago, IL
• 06/2014 → 01/2021
  Zeiders Enterprises Inc
  Woodbridge, VT
• 09/2012 → 12/2018
  Advisors Mortgage Group, Llc
  Wall, NJ
• 01/2021 → 09/2021
  Lpl Financial, Llc
  Sea Girt, NJ
• 02/2013 → Present
  Elk Bookkeeping (Dba - Patriot Financial Advisors)
  Long Branch, NJ
• 09/2021 → 01/2024
  Newbridge Securities Corporation
  Sea Girt, NJ
• 09/2021 → 01/2024
  Newbridge Financial Services Group Inc.
  Sea Girt, NJ
• 01/2023 → Present
  Kaplan Financial Education
  La Crosse, WI
• 01/2024 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 01/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 01/2024 → Present
  Rosso Financial Group
  Sea Girt, NJ

Previous Registrations

• 2021-10-04 → 2024-02-02
  Nfsg Corporation
  Sea Girt, NJ
  Boca Raton, FL
• 2021-01-28 → 2021-10-05
  Lpl Financial Llc
  Sea Girt, NJ
  Sea Girt, NJ
  San Diego, CA
• 2016-10-28 → 2021-03-02
  Regal Advisory Services, Inc.
  Sea Girt, NJ
  Glenview, IL
• 2015-04-06 → 2016-06-21
  Gwn Securities Inc.
  Palm Beach Gardens, FL
  Palm Beach Gardens, FL
  Willingboro, NJ
  Somerville, NJ
  Iselin, NJ
• 2010-11-15 → 2015-04-01
  Patriot Financial Advisors
  Eatontown, NJ

Other Businesses

1.NAME OF OTHER BUSINESS: ROSSO FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES POSITION/TITLE/RELATIONSHIP: SENIOR FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE INSURANCE, SECURITIES AND ADVISORY SERVICES 2. NAME OF OTHER BUSINESS: ELK BOOKKEEPING LLC (DBA PATRIOT FINANCIAL ADVISORS OR PATRIOT TAX SERVICES) INVESTMENT RELATED: NO ADDRESS: 208 ATLANTIC AVE, LONG BRANCH, NJ 07740 NATURE OF BUSINESS: TAX SERVICES START DATE: 02/2013 APX NUMBER OF HOURS PER WEEK: 20 APX NUMBER OF HOURS DURING TRADING HOURS: 5 POSITION/TITLE/RELATIONSHIP: TAX PREPARER BRIEF DESCRIPTION OF DUTIES: ELK BOOKKEEPING IS AN LLC OWNED BY MY WIFE. SHE DOES THE BOOKKEEPING AND I COLLECT FEES FOR TAX SERVICES UNDER THE LLC NAME. COMPLETE TAX RETURNS, RESOLVE TAX ISSUES. 3. NAME OF OTHER BUSINESS: ASSOCIATION OF US ARMY INVESTMENT RELATED: NO ADDRESS: PO BOX 497, EATONTOWN, NJ 07724 NATURE OF BUSINESS: BOARD FIDUCIARY POSITION START DATE: 10/2019 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: TREASURER BRIEF DESCRIPTION OF DUTIES: MAKE DEPOSITS AND INFORM THE BOARD OF FINANCIAL HEALTH AND AVAILABLE FUNDS TO DONATE. 4. NAME OF OTHER BUSINESS: JERSEY SHORE CHAMBER OF COMMERCE INVESTMENT RELATED: NO ADDRESS: 1856 NJ-35, WALL, NJ, 07719 NATURE OF BUSINESS: BOARD FIDUCIARY POSITION START DATE: 06/2017 POSITION/TITLE/RELATIONSHIP: GENERAL BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: ONCE A MONTH, WE REVIEW CHAMBER ACTIVITIES AND DISCUSS NEW NETWORKING EVENTS 5. NAME OF OTHER BUSINESS: KAPLAN FINANCIAL EDUCATION INVESTMENT RELATED: NO ADDRESS: 1801 E KIMBERLY RD, DAVENPORT, IA 52807 NATURE OF BUSINESS: TEACH FINANCIAL INFORMATION START DATE: 01/2023 POSITION/TITLE/RELATIONSHIP: INSTRUCTOR APX NUMBER OF HOURS PER WEEK: 3 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: TEACH FINANCIAL INFORMATION, MOST CLIENTS WILL BE WORKNG AT OTHER BDS TRAINING FOR INDUSTRY EXAMS.

Exams

• S66 Uniform Combined State Law Examination
  2016-03-12
• S63 Uniform Securities Agent State Law Examination
  2002-06-20

Designations

Other Names

• Sean Thomas Keating
• Sean Keating
• Sean T Keating