Sean O. Buxton

LEGACY CAPITAL GROUP CALIFORNIA

LOS GATOS, CA 95030

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CRD#: 4697339

Professional summary

Sean Oliver Buxton, CFP® is a registered financial advisor currently at LEGACY CAPITAL GROUP CALIFORNIA, INC. located in Los Gatos, California and INTEGRITY ALLIANCE, LLC. located in Los Gatos, California.

Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Sean has worked at 14 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1) BAER & BUNGER FINANCIAL AND INSURANCE SERVICES, LLC.| 459 MONTEREY AVENUE LOS GATOS, CA 95030 | INVESTMENT-RELATED.SALE OF INSURANCE PRODUCTS (LIFE). LICENSED INSURANCE AGENT | 05/2012 TO PRESENT | 5 HRS/MONTH. 5 HRS DURING SECURITIES TRADING HOURS | SALE OF INSURANCE PRODUCTS (LIFE). LEGACY CAPITAL GROUP CALIFORNIA POSITION: Employee NATURE: RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 100 START DATE: 01/01/2014 ADDRESS: 459 Monterey Ave, suite 100, los gatos CA 95030, United States DESCRIPTION: Do fee based financial planning and asset management for individuals. GMW ASSOCIATES POSITION: Board Member NATURE: I will be serving on the board. They specialize in magnets and magnetic testing and support. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2023 ADDRESS: 955 Industrial Rd., San Carlos CA 94070, United States DESCRIPTION: 4 board meetings a year plus prep time

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Oliver Buxton'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®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

March 4, 2014 - Present

LEGACY CAPITAL GROUP CALIFORNIA, INC.

Office #1: 459 Monterey Ave, Los Gatos, CA 95030

RIA

CRD#: 111436

LOS GATOS, CA

Current

November 3, 2025 - Present

INTEGRITY ALLIANCE, LLC.

Office #1: 459 Monterey Ave Ste 100, Los Gatos, CA 95030

RIA

CRD#: 139627

Los Gatos, CA

Past

February 3, 2022 - December 31, 2023

REACT INVESTMENT SOLUTIONS, LLC

RIA

CRD#: 150801

LOS GATOS, CA

Past

March 5, 2015 - November 3, 2025

LION STREET FINANCIAL, LLC

CRD#: 165828

Los Gatos, CA

Past

September 8, 2014 - January 5, 2015

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

LOS GATOS, CA

Past

September 15, 2011 - February 3, 2014

BEACON POINTE WEALTH ADVISORS, LLC

RIA

CRD#: 151328

SAN JOSE, CA

Past

January 6, 2011 - October 31, 2011

EXCELCIA FINANCIAL GROUP, LTD.

RIA

CRD#: 154278

SAN JOSE, CA

Past

May 27, 2010 - December 3, 2010

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA

CRD#: 13609

SAN JOSE, CA

Past

May 27, 2010 - December 3, 2010

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

SAN JOSE, CA

Past

February 29, 2008 - April 29, 2010

AFA ADVISOR SERVICES LLC

RIA

CRD#: 129104

SAN JOSE, CA

Past

February 29, 2008 - April 29, 2010

AFA FINANCIAL GROUP, LLC

CRD#: 127648

SAN JOSE, CA

Past

July 13, 2006 - March 12, 2008

PRIMESOLUTIONS SECURITIES, INC.

RIA

CRD#: 46017

CAPITOLA, CA

Past

July 13, 2006 - March 12, 2008

PRIMESOLUTIONS SECURITIES, INC.

CRD#: 46017

CAPITOLA, CA

Past

September 14, 2004 - June 22, 2006

PRIVATE CONSULTING GROUP, INC.

RIA

CRD#: 45053

SANTA CLARA, CA

Past

September 14, 2004 - June 22, 2006

PRIVATE CONSULTING GROUP, INC.

CRD#: 45053

SANTA CLARA, CA

Past

February 27, 2004 - August 27, 2004

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

February 27, 2004 - August 27, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

December 3, 2003 - August 27, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CAMPBELL, 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".

LEGACY CAPITAL GROUP CALIFORNIA, INC.

CRD#: 111436 / SEC#: 801-69566

RIA

Registered Investment Advisory firm - (9/10/2008 Approved)

California

Registered Investment Advisory firm - (9/18/2008 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.

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

IAR

California
(3/4/2014)

California
(11/3/2025)

Montana
(11/3/2025)

Washington
(11/3/2025)

Wyoming
(11/3/2025)

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: 6/1/2015

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/2/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/5/2014

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/25/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LEGACY CAPITAL GROUP CALIFORNIA, INC.

CRD#: 111436 / SEC#: 801-69566

RIA

Registered Investment Advisory firm - (9/10/2008 Approved)

California

Registered Investment Advisory firm - (9/18/2008 Terminated)

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Contact information

Main Address

459 Monterey Avenue Suite 100, Los Gatos, CA 95030

Mailing Address

Phone number

(408) 399-6330

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LEGACY ADV PART 2A 10.13.25 (11/5/2025)

Regulatory assets under management

Total Number of Accounts	2,090
AUM (Assets Under Management)	$ 608,388,867

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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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Sean O. Buxton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Oliver Buxton's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTEGRITY ALLIANCE, LLC.

REACT INVESTMENT SOLUTIONS, LLC

LION STREET FINANCIAL, LLC

KESTRA INVESTMENT SERVICES, LLC

BEACON POINTE WEALTH ADVISORS, LLC

EXCELCIA FINANCIAL GROUP, LTD.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

AFA ADVISOR SERVICES LLC

AFA FINANCIAL GROUP, LLC

PRIMESOLUTIONS SECURITIES, INC.

PRIMESOLUTIONS SECURITIES, INC.

PRIVATE CONSULTING GROUP, INC.

PRIVATE CONSULTING GROUP, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

LEGACY CAPITAL GROUP CALIFORNIA, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/1/2015

Series 66

Date: 12/2/2003

SIE

Date: 10/1/2018

Series 7

Date: 9/5/2014

Series 24

Date: 1/25/2005

FINRA

Current Firm

LEGACY CAPITAL GROUP CALIFORNIA, INC.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEGACY CAPITAL GROUP CALIFORNIA, INC.

TRUST BUT VERIFY

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