TrueAdvisor
TrueAdvisor
SR
SR

Sean Reynolds

Raymond James & Associates, INC.
22 Years of Experience
Buffalo, NY
1 DisclosureBroker
View SEC Summary
View SEC Summary

Sean Reynolds is a registered investment advisor at Raymond James & Associates, INC., based in Buffalo, NY, with 22 years of industry experience. Sean is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

468 Delaware Avenue, Suite 100, Buffalo, NY, 14202

Get directions

History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2012
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Raymond James & Associates, INC.Broker
October 2018 - Present · 8 yrs
Raymond James & Associates, INC.
October 2018 - Present · 8 yrs
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
March 2010 - October 2018 · 8 yrs 7 mos
Wells Fargo Clearing Services, LLC
March 2010 - October 2018 · 8 yrs 7 mos
Wells Fargo Advisors, LLC
March 2010 - March 2010 · 0 mos
Wells Fargo Advisors, LLCBroker
March 2010 - March 2010 · 0 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - March 2010 · 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - March 2010 · 5 mos
Banc of America Investment Services, INC.
March 2008 - October 2009 · 1 yr 7 mos
Banc of America Investment Services, INC.Broker
August 2007 - October 2009 · 2 yrs 2 mos
Morgan Stanley & CO., IncorporatedBroker
April 2007 - July 2007 · 3 mos
Morgan Stanley Dw INC.Broker
May 2004 - April 2007 · 2 yrs 11 mos
State Registrations25 states
AZCACTDCFLGAINKSKYMAMDNCNJNYOHORPASCSDTXVAVTWAWIWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Buffalo, NY →All financial advisors in New York →