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Michael A. Buono

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CRD#: 2348674
MB

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael Anthony Buono was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 3 firms and has passed the Series 63, SIE and Series 7 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 8, 2017 - January 19, 2018

ETICO PARTNERS, LLC

BD
CRD#: 122481
NEW YORK, NY
Past

August 22, 2006 - December 31, 2016

ETICO PARTNERS, LLC

BD
CRD#: 122481
NEW YORK, NY
Past

July 6, 1999 - December 15, 2005

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

October 17, 1994 - January 9, 1999

NEUBERGER BERMAN MANAGEMENT LLC

BD
CRD#: 5493
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/26/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/19/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1994
General Securities Representative Examination

Current Firm

EP
ETICO PARTNERS, LLC
ETICO PARTNERS, LLC | M.J. WHITMAN LLC

CRD#: 122481 / SEC#: , 8-65500

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

Main Address
19 Railroad Pl, Ste 202, Saratoga Springs, NY 12866
Mailing Address
19 Railroad Pl, Ste 202, Saratoga Springs, NY 12866
Phone number
(518) 348-0060
Established
Delaware since 05/15/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (23 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#
ETICO FINANCIAL LLCEQUITY HOLDER OF ETICO PARTNERS, LLC
GILBERT, JOSHUA TYLERCCO6578136
KRIEWALD, JESSICAFINOP
LEO, JOSEPH ALBERTEXECUTIVE VP4988004
SANFILIPPO, ANTHONY MARKROSFP865272
WEISMAN, SCOTT ALANCEO2367813

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

ETICO PARTNERS, LLC

CRD#: 122481

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