Sean Christopher Tucker

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 01/2015 → 02/2022
  Valic Financial Advisors, Inc.
  Springfield, MO
• 02/2022 → Present
  Cetera Advisors Llc
  St Cloud, MN
• 02/2022 → Present
  Prosperity Advisors, Llc
  Overland Park, KS
• 03/2022 → 01/2023
  Comprehensive Retirement Solutions (Crs)
  Carmel, IN
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2015-01-06 → 2022-02-18
  Valic Financial Advisors, Inc.
  Overland Park, KS
  Springfield, MO
  Westwood, KS
• 2011-01-03 → 2014-12-31
  Voya Financial Advisors, Inc.
  Columbus, OH
  Topeka, KS
• 2004-01-07 → 2011-01-03
  Voya Financial Partners, Llc
  Overland Park, KS
  Topeka, KS
  Topeka, KS
  Overland Park, KS
• 2003-05-12 → 2003-08-25
  Msi Financial Services, Inc.
  San Diego, CA
• 2002-10-18 → 2003-03-17
  Voya Financial Advisors, Inc.
  Redlands, CA
• 1999-05-20 → 2002-05-13
  Ameriprise Financial Services, Llc
  Riverside, CA

Other Businesses

1. NAME OF OTHER BUSINESS: PROSPERITY ADVISORS, LLC INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 02/2022, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: N/A, INVESTMENT RELATED: NO, ADDRESS: 4201 E 109TH ST, KANSAS CITY, MO, 64137, NATURE OF BUSINESS: RENTAL PROPERTY, START DATE: 03/2019, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 25, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: RENTED OUT THROUGH AIRBNB; 3. NAME OF OTHER BUSINESS: PROSPERITY TAX CENTER, LLC, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: TAX AND ACCOUNTING, START DATE: 03/2022, POSITION/TITLE/RELATIONSHIP: REFERRER, APX NUMBER OF HOURS PER WEEK: 2, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: REFER CLIENTS TO CPA; 4. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 12/2022 APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, FIXED ANNUITIES AND LONG-TERM CARE;

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-06-24
• S63 Uniform Securities Agent State Law Examination
  1997-05-16

Designations

• Certified Financial Planner