Carol H. Buss

BUSS CAPITAL MANAGEMENT

Lake Forest, IL 60045-1971

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CRD#: 2247651

Professional summary

Carol H. Buss, who also goes by Carol Hladnik Buss, Carol Lynn Buss, is a registered financial advisor currently at BUSS CAPITAL MANAGEMENT, LLC located in Lake Forest, Illinois.

Carol is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Carol has worked at 3 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carol Hladnik Buss | Carol Lynn Buss

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.

LICENSED REAL ESTATE BROKER, STATE OF ILLINOIS LIC. #475.068165; CAROL HLADNIK BUSS, REFERRAL NETWORK OF ILLINOIS, C/O KOENIG & STREY REAL LIVING, 4709 W. GOLF RD., SUITE 1100, SKOKIE, ILLINOIS 60076. RECEIVE REFERRAL FEES FROM OTHER REAL ESTATE AGENTS' FIRMS FOR REFERRING REAL ESTATE BUSINESS. I SPEND ABOUT 5 HOURS PER YEAR ON THIS. I DO NOT DEVOTE ANY TIME TO THIS OTHER BUSINESS DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol H. Buss'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

January 2, 2013 - Present

BUSS CAPITAL MANAGEMENT, LLC

Office #1: 250 E. Illinois Road Suite 4, Lake Forest, IL 60045-1971

RIA

CRD#: 165447

Lake Forest, IL

Past

January 2, 2013 - December 31, 2014

BUSS CAPITAL MANAGEMENT, LLC

RIA

CRD#: 165447

LAKE FOREST, IL

Past

October 26, 2010 - May 18, 2012

MORGAN STANLEY

RIA

CRD#: 149777

DEERFIELD, IL

Past

September 29, 2010 - May 18, 2012

MORGAN STANLEY

CRD#: 149777

DEERFIELD, IL

Past

July 20, 1992 - September 6, 1995

HOCHMAN & BAKER SECURITIES, INC.

CRD#: 19949

STAMFORD, CT

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(1/2/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/25/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/9/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/27/2010

General Securities Representative Examination

Current Firm

BUSS CAPITAL MANAGEMENT, LLC

BUSS CAPITAL MANAGEMENT, LLC | BUSS, CAROL H.

CRD#: 165447 / SEC#:

Illinois

Registered Investment Advisory firm - (1/2/2013 Approved)

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Contact information

Main Address

250 E. Illinois Road Suite 4, Lake Forest, IL 60045-1971

Mailing Address

Phone number

(312) 231-4490

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	94
AUM (Assets Under Management)	$ 25,373,914

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.

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Carol H. Buss

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol H. Buss's CRS (Customer Relationship Summary).

Certified licenses

Experience

BUSS CAPITAL MANAGEMENT, LLC

BUSS CAPITAL MANAGEMENT, LLC

MORGAN STANLEY

MORGAN STANLEY

HOCHMAN & BAKER SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/25/2010

Series 63

Date: 7/9/1992

Series 7

Date: 9/27/2010

Current Firm

BUSS CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BUSS CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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