Sean T. Stein

BUCKMAN ADVISORY GROUP LLC

Boca Raton, FL

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CRD#: 1854939

Professional summary

Sean Todd Stein, who also goes by Sean Stein, is a registered financial advisor currently at BUCKMAN ADVISORY GROUP LLC located in Boca Raton, Florida and BUCKMAN, BUCKMAN & REID, INC. located in North Palm Beach, Florida.

Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Sean has worked at 8 firms and has passed the Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sean Stein

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Sean Stein LLC. - not investment related - Home 1960 Augusta Terrace, Coral Springs, Florida 33071 - process my pay - Sole owner - 7/19/23 - 1 hour per month - paid through

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Todd Stein's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 8, 2016 - Present

BUCKMAN ADVISORY GROUP LLC

RIA

CRD#: 131688

Boca Raton, FL

Current

July 23, 2015 - Present

BUCKMAN, BUCKMAN & REID, INC.

Office #1: 631 Us Highway 1, North Palm Beach, FL 33408

CRD#: 23407

North Palm Beach, FL

Past

April 29, 2010 - July 24, 2015

JHS CAPITAL ADVISORS, LLC

RIA

CRD#: 112097

BOCA RATON, FL

Past

March 30, 2010 - July 24, 2015

JHS CAPITAL ADVISORS, LLC

CRD#: 112097

BOCA RATON, FL

Past

July 1, 2008 - March 30, 2010

GUNNALLEN FINANCIAL, INC

RIA

CRD#: 17609

DEERFIELD BEACH, FL

Past

June 27, 2008 - March 30, 2010

GUNNALLEN FINANCIAL, INC

CRD#: 17609

DEERFIELD BEACH, FL

Past

June 23, 2003 - July 1, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

DEERFIELD BEACH, FL

Past

June 16, 2003 - July 1, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

DEERFIELD BEACH, FL

Past

October 29, 1999 - June 24, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

BOCA RATON, FL

Past

October 29, 1999 - June 24, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

February 28, 1997 - November 9, 1999

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

October 31, 1996 - February 5, 1997

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BUCKMAN ADVISORY GROUP LLC

CRD#: 131688 / SEC#: 801-63540

RIA

Registered Investment Advisory firm - (9/24/2004 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(4/20/2020)

Florida
(7/23/2015)

IAR

Florida
(1/19/2017)

IAR

New Jersey
(12/14/2016)

New Jersey
(1/8/2020)

New York
(7/23/2015)

North Carolina
(2/2/2022)

South Carolina
(8/8/2025)

IAR

Texas
(12/13/2016)

Texas
(1/11/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 1/30/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/24/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/30/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 10/22/2003

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/9/2003

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

BUCKMAN ADVISORY GROUP LLC

CRD#: 131688 / SEC#: 801-63540

RIA

Registered Investment Advisory firm - (9/24/2004 Approved)

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Contact information

Main Address

44 Church Street, Little Silver, NJ 07739

Mailing Address

Phone number

(732) 530-0303

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SEC FORM ADV PART 2A DISCLOSURE BROCHURE (6/2/2025)

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	Cover Page	Report
11/20/2024	Cover Page	Report
03/04/2024	Cover Page	Report
07/05/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Sean T. Stein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Todd Stein's CRS (Customer Relationship Summary).

Certified licenses

Experience

BUCKMAN, BUCKMAN & REID, INC.

JHS CAPITAL ADVISORS, LLC

JHS CAPITAL ADVISORS, LLC

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

MORGAN STANLEY DW INC.

QUEST CAPITAL STRATEGIES, INC.

Primary Firm SEC Registration

BUCKMAN ADVISORY GROUP LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/30/1997

SIE

Date: 10/1/2018

Series 31

Date: 4/24/1997

Series 7

Date: 10/30/1996

Series 10

Date: 10/22/2003

Series 9

Date: 7/9/2003

FINRA

Nasdaq Stock Market

Current Firm

BUCKMAN ADVISORY GROUP LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BUCKMAN ADVISORY GROUP LLC

TRUST BUT VERIFY

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