Sean T. Borchardt

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CRD#: 4498256

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.

Sean T Borchardt was a registered financial professional .

Sean is a previously registered financial professional and started their career in finance in 2002. Sean had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

APPOINTED WITH VARIOUS OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 3, 2011 - December 3, 2024

VAN HULZEN FINANCIAL ADVISORS

RIA

CRD#: 116632

EL DORADO HILLS, CA

Past

January 20, 2011 - November 28, 2012

BARDIN FINANCIAL SERVICES

RIA

CRD#: 108494

JACKSON, CA

Past

July 8, 2008 - April 30, 2009

BEECHWOOD WEALTH ADVISORS, LLC

RIA

CRD#: 147113

FRESNO, CA

Past

February 5, 2007 - April 22, 2008

KMS FINANCIAL SERVICES, INC.

RIA

CRD#: 3866

FRESNO, CA

Past

February 5, 2007 - April 22, 2008

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

FRESNO, CA

Past

March 31, 2006 - November 8, 2008

BEECHWOOD ADVISORY GROUP, LLC

RIA

CRD#: 127614

FRESNO, CA

Past

January 3, 2006 - February 6, 2007

EPLANNING SECURITIES, INC.

CRD#: 46000

FRESNO, CA

Past

March 11, 2002 - January 10, 2006

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

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".

VAN HULZEN FINANCIAL ADVISORS

CRD#: 116632 / SEC#: 801-61884

RIA

Registered Investment Advisory firm - (3/14/2003 Approved)

California

Registered Investment Advisory firm - (5/8/2003 Terminated)

Colorado

Registered Investment Advisory firm - (12/31/2002 Terminated)

Texas

Registered Investment Advisory firm - (6/19/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/6/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/8/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/15/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/8/2002

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/9/2006

General Securities Principal Examination

Current Firm

VAN HULZEN FINANCIAL ADVISORS

CRD#: 116632 / SEC#: 801-61884

RIA

Registered Investment Advisory firm - (3/14/2003 Approved)

California

Registered Investment Advisory firm - (5/8/2003 Terminated)

Colorado

Registered Investment Advisory firm - (12/31/2002 Terminated)

Texas

Registered Investment Advisory firm - (6/19/2003 Terminated)

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Contact information

Main Address

4370 Town Center Blvd. Suite 220, El Dorado Hills, CA 95762

Mailing Address

Phone number

(916) 608-4284

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VAN HULZEN ADV PART 2A (5/20/2025)

Regulatory assets under management

Total Number of Accounts	2,701
AUM (Assets Under Management)	$ 1,859,922,004

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. Borchardt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BARDIN FINANCIAL SERVICES

BEECHWOOD WEALTH ADVISORS, LLC

KMS FINANCIAL SERVICES, INC.

KMS FINANCIAL SERVICES, INC.

BEECHWOOD ADVISORY GROUP, LLC

EPLANNING SECURITIES, INC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

VAN HULZEN FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 3/6/2006

Series 63

Date: 3/8/2002

Series 7

Date: 12/15/2005

Series 6

Date: 3/8/2002

Series 24

Date: 10/9/2006

Current Firm

VAN HULZEN FINANCIAL ADVISORS

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VAN HULZEN FINANCIAL ADVISORS

TRUST BUT VERIFY

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