Joseph A. Buffo
Professional summary
Joseph Anthony Buffo, who also goes by Joseph Anthony Buffo Jr., is a registered financial professional currently at X-CHANGE FINANCIAL ACCESS, LLC located in Chicago, Illinois.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2001. Joseph has worked at 2 firms and has passed the Series 63, Series 99TO, Series 3, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Anthony Buffo's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 20, 2018 - Present
X-CHANGE FINANCIAL ACCESS, LLC
Office #1: 222 W Adams Street Suite 450, Chicago, IL 60606June 7, 2001 - December 2, 2005
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 7/25/2024
Operations Professional ExaminationCboe Exchange, Inc.
FINRA
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Current Firm
X-CHANGE FINANCIAL ACCESS, LLC
CRD#: 126201 / SEC#: , 8-65860
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 32 |
Red Flags
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