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Sean Patrick Keyes

Mwa Financial Services Inc.

Laguna Hills, CA

CRD 7593479

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Employer firm

Mwa Financial Services Inc. CRD 112630

$640M regulatory AUM 51 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Selection of other advisers

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

Current Employers
Mwa Financial Services Inc.

1701 1St Avenue, Rock Island, IL 61201 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-06-05
VA RA APPROVED 2026-02-18
CA RA APPROVED 2025-01-01
OR RA APPROVED 2025-01-01
  • TX RA
    APPROVED_RES
    Since 2026-06-05
  • VA RA
    APPROVED
    Since 2026-02-18
  • CA RA
    APPROVED
    Since 2025-01-01
  • OR RA
    APPROVED
    Since 2025-01-01

Branch Locations

23441 S. Pointe Drive Suite 110, Laguna Hills, CA 92653 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Keyes Hardwood Flooring Santa Ana CA 11/2015 12/2021
Modern Woodmen Of America Rock Island IL 01/2022 07/2022
Mwa Financial Services Inc Rock Island IL 06/2022 Present
  • 11/2015 → 12/2021
    Keyes Hardwood Flooring
    Santa Ana, CA
  • 01/2022 → 07/2022
    Modern Woodmen Of America
    Rock Island, IL
  • 06/2022 → Present
    Mwa Financial Services Inc
    Rock Island, IL
Other Businesses

1) Keyes Hardwood Flooring, non-investment related. Santa Ana, CA. Consultant. 6/2024, 4 non-inv, 0 inv.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-04-13
S63 Uniform Securities Agent State Law Examination 2022-06-08
  • S65 Uniform Investment Adviser Law Examination
    2023-04-13
  • S63 Uniform Securities Agent State Law Examination
    2022-06-08

View on SEC IAPD

Nearby Firms

TOWNELEY CAPITAL MANAGEMENT, INC.
CETERA INVESTMENT ADVISERS LLC
LPL FINANCIAL LLC

Nearby Investors

ERNEST DANIEL GARRETT
PAULA DURRANT
TRACY ANN KUNTZ

Nearby Offices

TOWNELEY CAPITAL MANAGEMENT, INC. · LAGUNA HILLS, CA
CETERA INVESTMENT ADVISERS LLC · LAGUNA HILLS, CA
LPL FINANCIAL LLC · LAGUNA HILLS, CA

More in Laguna Hills, CA

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