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SB

Stephen O. Buff

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS
Boston, MA 02210
Some features on this profile are disabled
CRD#: 2143366
SB

Professional summary

Stephen Odonnell Buff is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Stephen Odonnell Buff's CRS (Customer Relationship Summary).
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

May 1, 2010 - Present

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

Office #1: 290 Congress St, Boston, MA 02210
BD
CRD#: 840
Boston, MA
Past

November 28, 2011 - April 21, 2016

RIVERSOURCE DISTRIBUTORS, INC.

BD
CRD#: 139135
MINNEAPOLIS, MN
Past

November 28, 2011 - April 21, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

May 12, 2009 - May 1, 2010

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
BOSTON, MA
Past

May 2, 2008 - April 2, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

October 4, 2007 - May 1, 2008

UST SECURITIES CORP.

BD
CRD#: 13906
STAMFORD, CT
Past

May 23, 2005 - May 1, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

October 25, 2004 - May 24, 2005

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
BOSTON, MA
Past

September 5, 2000 - November 1, 2004

APEX CLEARING CORPORATION

BD
CRD#: 13071
DALLAS, TX
Past

July 24, 1997 - September 5, 2000

ROBERTSON STEPHENS, INC.

BD
CRD#: 41271
SAN FRANCISCO, CA
Past

September 7, 1993 - August 2, 1996

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

July 7, 1993 - September 23, 1993

TD SECURITIES (USA) LLC

BD
CRD#: 18476
NEW YORK, 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
Massachusetts
(5/1/2010)

Exams

State Security Law Exam
RR
Series 63
Date: 1/18/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/23/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 14
Date: 5/25/1999
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 8
Date: 4/16/1999
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 24
Date: 8/14/1997
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/14/1993
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CM
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. | SELIGMAN MARKETING, INC. | SELIGMAN DISTRIBUTORS, INC. | SELIGMAN ADVISORS, INC. | RIVERSOURCE FUND DISTRIBUTORS, INC. | J & W SELIGMAN & CO. MARKETING, INC.

CRD#: 840 / SEC#: , 8-25845

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

Main Address
290 Congress Street, Boston, MA 02210
Mailing Address
290 Congress Street Bx 29 20661, Boston, MA 02210
Phone number
(617) 385-9565
Established
Delaware since 04/20/1978
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
J. & W. SELIGMAN & CO. INCORPORATEDSOLE STOCKHOLDER
BUFF, STEPHEN ODONNELLVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER2143366
BUMPUS, JAMES FREDERICKDIRECTOR, VICE PRESIDENT, AND HEAD OF INTERMEDIARY MARKETS1928724
DEFAO, MICHAEL EVICE PRESIDENT, CHIEF LEGAL OFFICER AND ASSISTANT SECRETARY2687755
MATTOX, MICHAEL SCOTTCHIEF FINANCIAL OFFICER4383501
TRUSCOTT, WILLIAM FREDERICKCHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER2416857
ZEITOUN, MARC CLAUDEDIRECTOR, VICE PRESIDENT AND HEAD OF NORTH AMERICA PRODUCT2639942

Disclosures

Civil 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

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840Boston, MA 02210

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