Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sean? Claim Your ProfileSean Buxton is a financial advisor with over 18 years of experience in the financial services industry. Sean is currently registered with Legacy Capital Group California, Inc., and has previously been registered with NFP ADVISOR SERVICES, LLC, BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC., AFA FINANCIAL GROUP, LLC, PRIMESOLUTIONS SECURITIES, INC., PRIVATE CONSULTING GROUP, INC., AMERICAN EXPRESS FINANCIAL ADVISORS INC., and IDS LIFE INSURANCE COMPANY. Sean is a Certified Financial Planner (CFP®) and holds the Series 7, Series 24, Series 63 and Series 66 securities licenses. Sean specializes in financial planning, portfolio management, and pension consulting. Sean works with a variety of clients including individuals, families, and businesses.
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.
Personalized portfolio management to meet individual financial objectives.
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.
Referral fees
1
2
CA
03/04/2014 - Present
Legacy Capital Group California, Inc. (LOS GATOS CA)
CA
09/08/2014 - 01/05/2015
NFP ADVISOR SERVICES, LLC (LOS GATOS CA)
CA
05/27/2010 - 12/03/2010
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. (SAN JOSE CA)
CA
02/29/2008 - 04/29/2010
AFA FINANCIAL GROUP, LLC (SAN JOSE CA)
CA
07/13/2006 - 03/12/2008
PRIMESOLUTIONS SECURITIES, INC. (CAPITOLA CA)
CA
09/14/2004 - 06/22/2006
PRIVATE CONSULTING GROUP, INC. (SANTA CLARA CA)
MN
02/27/2004 - 08/27/2004
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
02/27/2004 - 08/27/2004
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BC
Issued 06/01/2015
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 12/02/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/25/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/05/2014
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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