JB
John C. Buff
MPWM ADVISORY SOLUTIONS LLC
ALBANY, NY 12203
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CRD#: 4932562
JB
Professional summary
John Cole Buff is a registered financial advisor currently at MPWM ADVISORY SOLUTIONS LLC located in Albany, New York and LPL FINANCIAL LLC located in Albany, New York.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. John has worked at 6 firms and has passed the Series 66, SIE, Series 31 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.
1. 11/20/2023: Associates of Clifton Park LLC; At reported business location(s); Non-Variable Insurance; Inv. related; start date 11/7/2023; 2hrs/mo.; 1hr during trading. 2. 11/15/2023 - MPWM Advisory Solutions LLC - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 10/01/2023 - 120 Hours Per Month/ 8 Hours During Trading - I provide investment advisory services through MPWM Advisory Solutions LLC, an independent investment advisor firm. I started this business activity in 10/2023. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view John Cole Buff'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®
NoneExperience
Current
September 25, 2023 - Present
MPWM ADVISORY SOLUTIONS LLC
Office #1: 300 Great Oaks Blvd, Ste 300, Albany, NY 12203RIA
CRD#: 169885
ALBANY, NY
Current
August 19, 2016 - Present
LPL FINANCIAL LLC
Office #1: 300 Great Oaks Blvd Suite 300, Albany, NY 12203RIA
BD
CRD#: 6413
Albany, NY
Past
July 18, 2018 - October 2, 2023
WEALTHONE, LLC
RIA
CRD#: 284679
ALBANY, NY
Past
November 6, 2009 - August 22, 2016
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
ALBANY, NY
Past
April 9, 2007 - July 9, 2009
MERCER ALLIED COMPANY, L.P.
BD
CRD#: 37404
ALBANY, NY
Past
October 24, 2005 - January 30, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
ALBANY, NY
Past
October 4, 2005 - January 30, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
ALBANY, 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".
MA
MPWM ADVISORY SOLUTIONS LLC
ABBOTT ADVISORS, INC | THE TRUSTED ADVISOR | NAVIGATE FINANCIAL | NAVIGATE DIVORCE PLANNING | MULLINS WEALTH MANAGEMENT | MPWM ADVISORY SOLUTIONS LLC | MAYER, STEVEN J | MAYER PRIVATE WEALTH MANAGEMENT | MANHATTAN WEALTH MANAGEMENT GROUP | CAPSTONE FINANCIAL ADVISORS | CAPSTONE BENEFITS ADVISORS
CRD#: 169885 / SEC#: 801-78961
RIA
Registered Investment Advisory firm - (1/2/2014 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.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
Arizona(9/15/2020)
RR
California(8/19/2016)
RR
Colorado(8/19/2016)
RR
Florida(8/19/2016)
RR
Hawaii(8/19/2016)
RR
Indiana(3/17/2021)
RR
Kentucky(8/19/2016)
RR
Louisiana(3/1/2023)
RR
Maine(9/4/2024)
RR
Massachusetts(8/19/2016)
RR
Michigan(8/19/2016)
RR
Montana(2/10/2021)
RR
New Jersey(8/19/2016)
RR
New York(8/19/2016)
IAR
New York(9/25/2023)
RR
North Carolina(8/19/2016)
RR
South Carolina(8/19/2016)
RR
Texas(8/19/2016)
RR
Virginia(8/19/2016)
RR
Washington(8/19/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MPWM ADVISORY SOLUTIONS LLC
ABBOTT ADVISORS, INC | THE TRUSTED ADVISOR | NAVIGATE FINANCIAL | NAVIGATE DIVORCE PLANNING | MULLINS WEALTH MANAGEMENT | MPWM ADVISORY SOLUTIONS LLC | MAYER, STEVEN J | MAYER PRIVATE WEALTH MANAGEMENT | MANHATTAN WEALTH MANAGEMENT GROUP | CAPSTONE FINANCIAL ADVISORS | CAPSTONE BENEFITS ADVISORS
CRD#: 169885 / SEC#: 801-78961
RIA
Registered Investment Advisory firm - (1/2/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
8000 Avalon Blvd Suite 100, Alpharetta, GA 30009
Mailing Address
Phone number
(678) 566-4001
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (14 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 653 |
| AUM (Assets Under Management) | $ 320,546,673 |
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.
