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SOUTHEAST FINANCIAL GROUP

RALEIGH, NC · CRD 151216 · IAPD ↗ · sefgroup.com · 919-544-0500

$177.8MRegulatory AUM
3Advisory reps
3Employees
0Clients
26-50Planning clients
0Private funds
11States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
January 2025 — SOUTHEAST FINANCIAL GROUP (RALEIGH, NC) left the SEC roster (was $177.8M RAUM, 3 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
44
August 2024 — SOUTHEAST FINANCIAL GROUP notice-filed in IL, MA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.