John Cole Buff
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
21 years in the financial services industry
Current & Past Employments
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Current Firm
ABBOTT ADVISORS, INC | THE TRUSTED ADVISOR | NAVIGATE FINANCIAL | NAVIGATE DIVORCE PLANNING | MULLINS WEALTH MANAGEMENT | MPWM ADVISORY SOLUTIONS LLC | MOMENTUM WEALTH ADVISORS | MAYER, STEVEN J | MAYER PRIVATE WEALTH MANAGEMENT | MANHATTAN WEALTH MANAGEMENT GROUP | CAPSTONE FINANCIAL ADVISORS | CAPSTONE BENEFITS ADVISORS
Contact Information
Main Address
8000 Avalon Blvd Suite 100, Alpharetta, GA 30009Phone Number
(678) 566-4001# of Employees
20SEC notice filing (14 States and Territories)
Registered to provide investment advisory services in 14 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,173AUM (Assets Under Management)
$326,885,658Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ABBOTT ADVISORS, INC | THE TRUSTED ADVISOR | NAVIGATE FINANCIAL | NAVIGATE DIVORCE PLANNING | MULLINS WEALTH MANAGEMENT | MPWM ADVISORY SOLUTIONS LLC | MOMENTUM WEALTH ADVISORS | MAYER, STEVEN J | MAYER PRIVATE WEALTH MANAGEMENT | MANHATTAN WEALTH MANAGEMENT GROUP | CAPSTONE FINANCIAL ADVISORS | CAPSTONE BENEFITS ADVISORS
State Registrations and Notice Filings
(9/15/2020)
(8/19/2016)
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(3/17/2021)
(8/19/2016)
(3/1/2023)
(9/4/2024)
(8/19/2016)
(8/19/2016)
(2/10/2021)
(8/19/2016)
(8/19/2016)
(9/25/2023)
(8/19/2016)
(8/19/2016)
(8/19/2016)
(8/19/2016)
(8/19/2016)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view John Cole Buff's CRS (Customer Relationship Summary).
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