Sean Conley Mccloskey

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

• 06/2016 → 10/2018
  Securian Financial Services Inc.
  St. Paul, MN
• 06/2016 → 10/2018
  Tax And Financial Group
  Newport Beach, CA
• 12/2008 → 10/2018
  Tfg Strategies
  Newport Beach, CA
• 10/2018 → 08/2023
  Securian Financial Services Inc.
  St. Paul, MN
• 10/2018 → 08/2023
  Minnesota Life
  St. Paul, MD
• 10/2018 → Present
  Tax And Financial Group
  Newport Beach, CA
• 08/2023 → Present
  Cetera Wealth Services, Llc
  Newport Beach, CA
• 08/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2016-06-29 → 2023-08-10
  Securian Financial Services, Inc.
  Newport Beach, CA
  St. Paul, MN
• 2009-07-28 → 2011-07-06
  Securian Financial Services, Inc.
  Newport Beach, CA

Other Businesses

1. NAME OF OTHER BUSINESS: TAX & FINANCIAL GROUP, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 08/2023, POSITION/TITLE/RELATIONSHIP: CEO, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 8/2009; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 3. NAME OF OTHER BUSINESS: PRIVATE RISK INSURANCE AGENCY, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: REAL ESTATE; START DATE: 10/2021; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK:0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: NO DUTIES, PASSIVE MINORITY INVESTOR;

Exams

• S66 Uniform Combined State Law Examination
  2009-06-24
• S63 Uniform Securities Agent State Law Examination
  1999-03-20