Massimo Bufalini

CAPITAL GROUP PRIVATE CLIENT SERVICES

New York, NY 10022

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CRD#: 4273382

Professional summary

Massimo Bufalini is a registered financial advisor currently at CAPITAL GROUP PRIVATE CLIENT SERVICES, INC. located in New York, New York.

Massimo is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Massimo has worked at 5 firms and has passed the Series 65, Series 63, Series 57TO, Series 79TO, SIE, Series 55, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Massimo Bufalini'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

August 26, 2025 - Present

CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.

Office #1: 399 Park Ave. 34th Fl., New York, NY, 10022

RIA

CRD#: 312837

New York, NY

Past

April 11, 2022 - July 29, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

March 9, 2022 - July 29, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

December 3, 2018 - December 16, 2021

OUTSET GLOBAL TRADING LIMITED

CRD#: 281065

NEW YORK, NY

Past

September 10, 2014 - December 21, 2018

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 6, 2010 - July 28, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

October 23, 2009 - June 7, 2010

UNICREDIT CAPITAL MARKETS LLC

CRD#: 7789

NEW YORK, NY

Past

October 4, 2000 - October 22, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.

CAPITAL GROUP PRIVATE CLIENT SERVICES | CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.

CRD#: 312837 / SEC#: 801-121267

RIA

Registered Investment Advisory firm - (5/20/2021 Approved)

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

California
(8/27/2025)

IAR

Georgia
(10/1/2025)

IAR

Illinois
(8/29/2025)

IAR

Nevada
(8/27/2025)

IAR

New York
(8/26/2025)

IAR

Texas
(8/26/2025)

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 65

Date: 4/8/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/16/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 10/19/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 3

Date: 10/11/2000

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/3/2000

General Securities Representative Examination

Current Firm

CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.

CAPITAL GROUP PRIVATE CLIENT SERVICES | CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.

CRD#: 312837 / SEC#: 801-121267

RIA

Registered Investment Advisory firm - (5/20/2021 Approved)

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Contact information

Main Address

333 South Hope Street, Los Angeles, CA 90071

Mailing Address

Phone number

(213) 486-9200

Established

Firm type

Fiscal year end

# of Employees

189

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CGPCS ADV PART 2A (9/26/2025)

Regulatory assets under management

Total Number of Accounts	12,073
AUM (Assets Under Management)	$ 42,713,999,861

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/24/2024	Cover Page	Report
07/28/2023	Cover Page	Report
10/26/2022	Cover Page	Report

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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Massimo Bufalini

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Massimo Bufalini's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

OUTSET GLOBAL TRADING LIMITED

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UNICREDIT CAPITAL MARKETS LLC

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/8/2022

Series 63

Date: 10/16/2000

Series 57TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 10/19/2000

Series 3

Date: 10/11/2000

Series 7

Date: 10/3/2000

Current Firm

CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.

TRUST BUT VERIFY

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