BUCKMAN ADVISORY GROUP LLC of LITTLE SILVER, NJ is an SEC-registered investment adviser (CRD 131688). Regulatory assets under management: $277.3M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Commissions.
Clients served: Individuals, High net worth, Pooled vehicles, Charities, Corporations.
| Name | Role | Location |
|---|---|---|
| Harry John Buckman | MANAGING MEMBER; MEMBER; OWNER | — |
| Thomas Paul Buckman | MEMBER; OWNER | — |
| H John Buckman | OWNER | — |
| Richard Anthony Panno | CCO | — |
| BUCKMAN HARRY JOHN | MANAGING MEMBER; MANAGING MEMBER/CHIEF COMPLIANCE OFFICER; OWNER | — |
| BUCKMAN THOMAS PAUL | OWNER | — |
| PANNO RICHARD ANTHONY | CCO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-09-12 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED PURSUANT TO SECTION 15(B) OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT") AND SECTIONS 203(E), 203(… | Final | $75K |
| 2022-09-12 | regulatory | VIOLATED SECTION 206(2) OF THE ADVISERS ACT,VIOLATED SECTION 206(4) OF THE ADVISERS ACT AND RULE 206(4)-7, SECTION 206(2), SECTIONS 203(E)(6) AND 203(F) | Final | $400K |