SM
SM
Sean Mainwaring
7 Years of Experience
Tampa, FL
4 DisclosuresBroker
Sean Mainwaring is a registered investment advisor at Cetera Investment Advisers LLC, based in Tampa, FL, with 7 years of industry experience. Sean is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B
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Location
1715 N Westshore Blvd Ste 260, Tampa, FL, 33607
Get directionsHistory
Regulatory History (4)
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Financial
January 2024Final
Financial
January 2024Final
Financial
June 2021Final
Criminal
December 2010Final Disposition
Other Business Activities
Sean is on the advisory board of the Junior League of Tampa Bay, focusing on community outreach. This requires a few hours per week.
Employment History
Current Registrations
Cetera Investment Advisers LLC
March 2024 - Present · 2 yrs 7 mos
Cetera Investment Services LLC
March 2024 - Present · 2 yrs 7 mos
Cetera Investment Services LLCBroker
March 2024 - Present · 2 yrs 7 mos
Previous Registrations
Edward Jones
July 2019 - March 2024 · 4 yrs 8 mos
Edward JonesBroker
June 2019 - March 2024 · 4 yrs 9 mos
State Registrations7 states
FLKYMTNCNYSCVA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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