Sean Michael Okeefe

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 12/2015 → Present
  Lpl Financial Llc
  Irvine, CA
• 12/2015 → Present
  Stratos Wealth Partners, Ltd
  Irvine, CA

Previous Registrations

• 2000-05-17 → 2015-12-18
  Equitable Advisors, Llc
  Irvine, CA
  Irvine, CA
  Irvine, CA

Other Businesses

(1) 12/16/2015: No Business Name - Non-Variable Insurance - investment Related - At Reported Business Location(s) - Life insurance, fixed annuities. - 10% Time Spent (2) 12/16/2015: Certus Wealth Advisors - DBA for LPL Business (entity for LPL business) - INV REL - At Reported Business Location(s)- Fixed and life insurance - 173 HR/MO, 8 DURING SECS TRDG HRS, 90% TIME SPENT (3) 12/16/2015: Stratos Wealth Partners - DBA for LPL Business (entity for LPL business) - INV REL - AT REPORTED BUSINESS LOCATION(S) - 100% TIME SPENT (4) 12/22/2015 - Stratos Wealth Partners - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 12/2015 - Time Spent 100% - I provide investment advisory services through Stratos Wealth Partners LTD, an independent investment advisor firm. I started this business activity in 12/2015. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. (5) 12/22/2015: STRATOS WEALTH PARTNERS, LTD - Registered Investment Advisor DBA - (Hybrid) Certus Wealth Advisors - INV REL - AT REPORTED BUSINESS LOCATION(S) - IAR - 90% TIME SPENT (6) 02/22/2016: Sean M. O'Keefe - Non-Variable Insurance - INV REL - START 01/29/2016 - 2 Park Plaza, Suite 350, Irvine, CA 92614 - BROKER - 20 HR/MO, 0 DURING SECS TRDG HRS (7) 06/20/2016: Sean M. O'Keefe - Non-Variable Insurance - INV REL - START 06/07/2016 - 2 Park Plaza, Suite 350, Irvine, CA 92614 - CFP, Agent - 1 HR/MO, 0 DURING SECS TRDG HRS. (8) 3/22/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 02/16/2018 - 5 Hours Per Month/0 Hours During Securities Trading (9) 08/31/2021 - THE SEAN AND EVA O'KEEFE FAMILY TRUST - Investment Related - Home Based & Park City, UT 84098 - Real Estate Rental - Start Date: 10/15/2020 - 1 Hour Per Month/0 Hours During Securities Trading - Rental property purchased for rental and personal use. (10) 06/08/2026 - Certus Wealth Advisors, Inc. - Business Owner - Not Investment Related - Irvine, CA - Start Date 01/01/2026 - 240 hours per month/ 195 hours during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-06
• S63 Uniform Securities Agent State Law Examination
  1992-07-31

Designations

• Certified Financial Planner

Other Names

• Sean M Okeefe