Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Buckley is a financial professional with over 25 years of experience in the industry. Sean is currently registered with Robert W. Baird & Co. Inc. and has been with the firm since April 2018. Sean's previous experience includes roles at CLEARPOOL EXECUTION SERVICES, LLC, CONVERGEX EXECUTION SOLUTIONS LLC, NYFIX MILLENNIUM, L.L.C., LEGEND SECURITIES, INC., BEAR, STEARNS & CO. INC., and PRUDENTIAL SECURITIES INCORPORATED. Sean holds the Series 63, Series 24, Series 57TO, Series 99TO, SIE, Series 55, and Series 7 licenses. Sean is registered in 26 states and the District of Columbia. Sean specializes in providing financial advice to a variety of clients, including individuals, businesses, and institutions.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
See schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
NY
04/17/2018 - Present
Robert W. Baird & Co. Inc. (New York NY)
NY
09/08/2015 - 05/30/2018
CLEARPOOL EXECUTION SERVICES, LLC (NEW YORK NY)
NY
12/22/2009 - 09/04/2015
CONVERGEX EXECUTION SOLUTIONS LLC (NEW YORK NY)
NY
06/25/2007 - 12/15/2009
NYFIX MILLENNIUM, L.L.C. (NEW YORK NY)
NY
10/03/2006 - 06/20/2007
LEGEND SECURITIES, INC. (NEW YORK NY)
NY
09/30/1997 - 11/22/2004
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
06/26/1995 - 09/12/1997
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 07/11/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/10/2009
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/29/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/23/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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