Sean Patrick Williams

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2014 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 04/2020 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2013-03-18 → 2013-11-05
  Riverview Research, Llc
  Independence, OH
• 2005-10-10 → 2007-02-20
  Keybanc Capital Markets Inc.
  Cleveland, OH
  Cleveland, OH

Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, AS ADVISORY REP OF A RIA, 04/2020, INV REL, 80 HR/MO 80 HR/MO TRADING 2) MAYFIELD FINANCIAL SERVICES, 6120 PARKLAND BLVD SUITE 100 MAYFIELD HEIGHTS OH, 04/2024, W2 EMPLOYEE, ACCOUNTING SERVICE, NIR, 0 HR/MO 0 HR/MO TRADING 3) MAYFIELD FINANCIAL SERVICES, 6120 Parkland Blvd, Mayfield Heights OH 44124, 09/11/2024, W2 Employee, Using a Trade Name / DBA, INV REL, 200 HR/MO, 120 HR/MO TRADING.

Exams

• S66 Uniform Combined State Law Examination
  2020-01-10

Designations

• Chartered Financial Analyst