Sean J. Golden

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CRD#: 6214524

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 James Golden was a registered financial professional .

Sean is a previously registered financial professional and started their career in finance in 2013. Sean had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.

The advisor shows no other business activity.

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

July 14, 2023 - June 28, 2024

APPLIED FUNDAMENTAL RESEARCH, LLC

RIA

CRD#: 167645

CAMBRIDGE, MA

Past

December 7, 2015 - March 21, 2023

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIA

CRD#: 108257

BOSTON, MA

Past

August 6, 2015 - March 21, 2023

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

Past

December 21, 2013 - July 27, 2015

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

ANDOVER, MA

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".

APPLIED FUNDAMENTAL RESEARCH, LLC

CRD#: 167645 / SEC#: 801-121001

RIA

Registered Investment Advisory firm - (4/29/2021 Approved)

Massachusetts

Registered Investment Advisory firm - (6/7/2021 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: 12/1/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/12/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/16/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/20/2013

Investment Company Products/Variable Contracts Representative Examination

Current Firm

APPLIED FUNDAMENTAL RESEARCH, LLC

CRD#: 167645 / SEC#: 801-121001

RIA

Registered Investment Advisory firm - (4/29/2021 Approved)

Massachusetts

Registered Investment Advisory firm - (6/7/2021 Terminated)

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Contact information

Main Address

50 Church Street 5th Floor, Cambridge, MA 02138

Mailing Address

Phone number

(617) 360-7176

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

AFR BROCHURE 2025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	10
AUM (Assets Under Management)	$ 149,964,495

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/29/2023	Cover Page	Report
08/18/2022	Cover Page	Report

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
Massachusetts	ERA - Withdrawn	12/9/2015

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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Firm Stability Insights

Sean J. Golden

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

Primary Firm SEC Registration

APPLIED FUNDAMENTAL RESEARCH, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/1/2015

Series 63

Date: 2/12/2014

SIE

Date: 10/1/2018

Series 7

Date: 3/16/2015

Series 6

Date: 12/20/2013

Current Firm

APPLIED FUNDAMENTAL RESEARCH, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Exempt reporting advisers

Red Flags

Company Information

APPLIED FUNDAMENTAL RESEARCH, LLC

TRUST BUT VERIFY

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