Stephen Odonnell Buff
Professional Summary
Stephen Odonnell Buff is a registered financial advisor currently at COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. located in Boston, Massachusetts. Stephen is registered as a RR (Registered Representative) and started their career in finance in 1993. Stephen has worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 9, Series 10, Series 14, Series 8, Series 24 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. | SELIGMAN MARKETING, INC. | SELIGMAN DISTRIBUTORS, INC. | SELIGMAN ADVISORS, INC. | RIVERSOURCE FUND DISTRIBUTORS, INC. | J & W SELIGMAN & CO. MARKETING, INC.
Contact Information
Main Address
290 Congress Street, Boston, MA 02210Mailing Address
290 Congress Street Bx 29 20661, Boston, MA 02210Phone Number
(617) 385-9565Established
Delaware since 04/20/1978Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J. & W. SELIGMAN & CO. INCORPORATED | SOLE STOCKHOLDER | — |
| BUFF, STEPHEN ODONNELL | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2143366 |
| BUMPUS, JAMES FREDERICK | DIRECTOR, VICE PRESIDENT, AND HEAD OF INTERMEDIARY MARKETS | 1928724 |
| DEFAO, MICHAEL E | VICE PRESIDENT, CHIEF LEGAL OFFICER AND ASSISTANT SECRETARY | 2687755 |
| HORWITH, THEODORE ROBERT | CHIEF FINANCIAL OFFICER | 3257001 |
| TRUSCOTT, WILLIAM FREDERICK | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2416857 |
| ZEITOUN, MARC CLAUDE | DIRECTOR, VICE PRESIDENT AND HEAD OF NORTH AMERICA PRODUCT | 2639942 |
Disclosures
Civil Event
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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.
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State Registrations and Notice Filings
(5/1/2010)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Apr 1999SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Stephen Odonnell Buff's CRS (Customer Relationship Summary).
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