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RB

Robert M. Buxton

AGC PARTNERS
BOSTON, MA 02110
Some features on this profile are disabled
CRD#: 1730289
RB

Professional summary

Robert Michael Buxton, who also goes by Rob Buxton, is a registered financial professional currently at AGC PARTNERS located in Boston, Massachusetts.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1992. Robert has worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rob Buxton

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Michael Buxton's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 30, 2009 - Present

AGC PARTNERS

Office #1: 99 High Street Floor 22, Boston, MA 02110
BD
CRD#: 125958
BOSTON, MA
Past

July 24, 1993 - January 31, 2008

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
MENLO PARK, CA
Past

December 8, 1992 - August 3, 1993

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(3/30/2009)

Exams

State Security Law Exam
RR
Series 63
Date: 12/18/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/4/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/27/2001
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AP
AGC PARTNERS
AGC PARTNERS | AMERICA'S GROWTH CAPTIAL, LLC | AMERICA'S GROWTH CAPITAL, LLC

CRD#: 125958 / SEC#: , 8-65839

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
99 High Street Floor 22, Boston, MA 02110
Mailing Address
99 High Street Floor 22, Boston, MA 02110
Phone number
(617) 261-4100
Established
Delaware since 01/08/2003
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (14 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
AMERICA'S GROWTH CAPITAL HOLDINGS LLCOWNER
GUIDO, JONATHAN DAVIDINVESTMENT BANKING, PARTNER4285417
HOWE, MATTHEW BENJAMINCEO, FINOP, FOUNDING PARTNER, CCO1763872
KUSSMAUL, MARIA LEWISPRINCIPAL2845618

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

AGC PARTNERS

CRD#: 125958Boston, MA 02110

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