Sean T. Neel

BUTTONWOOD CAPITAL MANAGEMENT (BCM)

Scottsdale, AZ 85255

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CRD#: 6203339

Professional summary

Sean Thomas Neel, CFP®, who also goes by Sean Neel, is a registered financial advisor currently at BUTTONWOOD CAPITAL MANAGEMENT (BCM) located in Scottsdale, Arizona and LPL FINANCIAL LLC located in Scottsdale, Arizona.

Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Sean has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sean Neel

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Thomas Neel'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: 2023

Experience

Current

May 14, 2019 - Present

BUTTONWOOD CAPITAL MANAGEMENT (BCM)

Office #1: 17550 North Perimeter Drive Suite 100, Scottsdale, AZ 85255

RIA

CRD#: 174857

Scottsdale, AZ

Current

March 4, 2019 - Present

LPL FINANCIAL LLC

Office #1: 17550 N Perimeter Dr Ste 100, Scottsdale, AZ 85255-7830

RIA

CRD#: 6413

Scottsdale, AZ

Past

May 26, 2017 - March 14, 2019

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

PHOENIX, AZ

Past

May 26, 2017 - March 14, 2019

J.P. MORGAN SECURITIES LLC

CRD#: 79

PHOENIX, AZ

Past

April 24, 2015 - March 13, 2017

EDWARD JONES

RIA

CRD#: 250

SCOTTSDALE, AZ

Past

March 26, 2015 - March 13, 2017

EDWARD JONES

CRD#: 250

SCOTTSDALE, AZ

Past

September 9, 2014 - September 26, 2014

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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".

BUTTONWOOD CAPITAL MANAGEMENT (BCM)

BUTTONWOOD CAPITAL MANAGEMENT | BUTTONWOOD CAPITAL MANAGEMENT, LLC | BUTTONWOOD CAPITAL MANAGEMENT (BCM)

CRD#: 174857 / SEC#: 801-117678

RIA

Registered Investment Advisory firm - (11/22/2019 Approved)

Arizona

Registered Investment Advisory firm - (12/12/2019 Terminated)

California

Registered Investment Advisory firm - (1/11/2020 Terminated)

Florida

Registered Investment Advisory firm - (12/12/2019 Terminated)

Texas

Registered Investment Advisory firm - (12/12/2019 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

Arizona
(3/4/2019)

IAR

Arizona
(5/14/2019)

IAR

Texas
(1/24/2024)

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

IAR

Series 66

Date: 4/11/2015

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: 9/9/2014

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BUTTONWOOD CAPITAL MANAGEMENT (BCM)

BUTTONWOOD CAPITAL MANAGEMENT | BUTTONWOOD CAPITAL MANAGEMENT, LLC | BUTTONWOOD CAPITAL MANAGEMENT (BCM)

CRD#: 174857 / SEC#: 801-117678

RIA

Registered Investment Advisory firm - (11/22/2019 Approved)

Arizona

Registered Investment Advisory firm - (12/12/2019 Terminated)

California

Registered Investment Advisory firm - (1/11/2020 Terminated)

Florida

Registered Investment Advisory firm - (12/12/2019 Terminated)

Texas

Registered Investment Advisory firm - (12/12/2019 Terminated)

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Contact information

Main Address

17550 North Perimeter Drive Suite 100, Scottsdale, AZ 85255

Mailing Address

Phone number

(480) 305-2105

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A - FIRM DISCLOSURE BROCHURE (3/29/2025)

Regulatory assets under management

Total Number of Accounts	816
AUM (Assets Under Management)	$ 314,800,000

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. Neel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Thomas Neel's CRS (Customer Relationship Summary).

Certified licenses

Experience

BUTTONWOOD CAPITAL MANAGEMENT (BCM)

LPL FINANCIAL LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

EDWARD JONES

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

BUTTONWOOD CAPITAL MANAGEMENT (BCM)

State Registrations and Notice Filings

Exams

Series 66

Date: 4/11/2015

SIE

Date: 10/1/2018

Series 7

Date: 9/9/2014

FINRA

Current Firm

BUTTONWOOD CAPITAL MANAGEMENT (BCM)

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BUTTONWOOD CAPITAL MANAGEMENT (BCM)

TRUST BUT VERIFY

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