Robert J. Pincus
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Jay Pincus was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1997. Robert had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2019 - October 23, 2020
BUCKMAN ADVISORY GROUP LLC
March 22, 2019 - October 23, 2020
BUCKMAN, BUCKMAN & REID, INC.
April 4, 2017 - February 19, 2019
CAPITOL SECURITIES MANAGEMENT, INC.
March 31, 2017 - February 19, 2019
CAPITOL SECURITIES MANAGEMENT, INC.
May 15, 2015 - April 5, 2017
OPPENHEIMER & CO. INC.
May 15, 2015 - April 5, 2017
OPPENHEIMER & CO. INC.
June 30, 2006 - May 20, 2015
WELLS FARGO CLEARING SERVICES, LLC
June 30, 2006 - May 20, 2015
WELLS FARGO CLEARING SERVICES, LLC
March 28, 2006 - July 21, 2006
RYAN BECK & CO.
April 29, 2002 - July 21, 2006
RYAN BECK & CO.
August 6, 2001 - May 20, 2002
GRUNTAL & CO., L.L.C.
June 11, 1997 - August 21, 2001
J. B. HANAUER & CO.
Primary Firm SEC Registration
BUCKMAN ADVISORY GROUP LLC
CRD#: 131688 / SEC#: 801-63540
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BUCKMAN ADVISORY GROUP LLC
CRD#: 131688 / SEC#: 801-63540
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 834 |
| AUM (Assets Under Management) | $ 236,142,403 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/30/2025 | ||
| 11/20/2024 | ||
| 03/04/2024 | ||
| 07/05/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
