SB
Seth P. Buks
COLUMBIA MANAGEMENT INVESTMENT ADVISERS
Boston, MA 02210
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CRD#: 5389613
SB
Professional summary
Seth Pedro Buks, CIMA® is a registered financial advisor currently at COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC located in Boston, Massachusetts and COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. located in Boston, Massachusetts.
Seth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Seth has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.
CRS (Client Relationship Summary) - RIA
Click below to view Seth Pedro Buks'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®
Experience
Current
May 1, 2010 - Present
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
Office #1: 290 Congress Street, Boston, MA 02210RIA
CRD#: 108257
Boston, MA
Current
May 1, 2010 - Present
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
Office #1: 290 Congress St, Boston, MA 02210BD
CRD#: 840
Boston, MA
Past
March 11, 2008 - May 1, 2010
BOFA ADVISORS, LLC
RIA
CRD#: 107900
BOSTON, MA
Past
December 4, 2007 - May 1, 2010
BOFA DISTRIBUTORS, INC.
BD
CRD#: 30683
BOSTON, MA
Past
October 24, 2007 - November 26, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
BOSTON, MA
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".
CM
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
AMERICAN EXPRESS ASSET MANAGEMENT GROUP INC | SELIGMAN INVESTMENTS | SELIGMAN | RIVERSOURCE INVESTMENTS, LLC | RIVERSOURCE INVESTMENTS | RIVERSOURCE INSURANCE ASSETS | RIVERSOURCE INSTITUTIONAL ADVISORS | RIVERSOURCE CAPITAL MANAGEMENT | RIVERSOURCE ALTERNATIVE INVESTMENTS | RIVERSOURCE | J. & W. SELIGMAN | COLUMBIA THREADNEEDLE INVESTMENTS NORTH AMERICA | COLUMBIA THREADNEEDLE INVESTMENTS | COLUMBIA THREADNEEDLE | COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC | COLUMBIA MANAGEMENT INVESTMENT ADVISERS | COLUMBIA MANAGEMENT CAPITAL ADVISERS | COLUMBIA MANAGEMENT
CRD#: 108257 / SEC#: 801-25943
RIA
Registered Investment Advisory firm - (12/20/1985 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
Alabama(5/11/2020)
RR
Alaska(5/11/2020)
RR
Arizona(5/11/2020)
RR
Arkansas(5/11/2020)
RR
California(5/11/2020)
RR
Colorado(5/11/2020)
RR
Connecticut(5/1/2010)
IAR
Connecticut(5/1/2010)
RR
Delaware(3/20/2017)
RR
District of Columbia(3/20/2017)
RR
Florida(5/11/2020)
RR
Georgia(5/11/2020)
RR
Hawaii(5/11/2020)
RR
Idaho(5/11/2020)
RR
Illinois(3/20/2017)
RR
Indiana(3/20/2017)
RR
Iowa(5/11/2020)
RR
Kansas(5/11/2020)
RR
Kentucky(5/11/2020)
RR
Louisiana(5/11/2020)
RR
Maine(5/1/2010)
RR
Maryland(3/20/2017)
RR
Massachusetts(5/1/2010)
IAR
Massachusetts(5/1/2010)
RR
Michigan(3/20/2017)
RR
Minnesota(5/11/2020)
RR
Mississippi(5/11/2020)
RR
Missouri(5/11/2020)
RR
Montana(5/11/2020)
RR
Nebraska(5/11/2020)
RR
Nevada(5/11/2020)
RR
New Hampshire(5/1/2010)
RR
New Jersey(3/20/2017)
RR
New Mexico(5/11/2020)
RR
New York(5/1/2010)
RR
North Carolina(5/11/2020)
RR
North Dakota(5/11/2020)
RR
Ohio(3/20/2017)
RR
Oklahoma(5/11/2020)
RR
Oregon(5/11/2020)
RR
Pennsylvania(3/20/2017)
RR
Rhode Island(3/30/2012)
RR
South Carolina(5/11/2020)
RR
South Dakota(5/11/2020)
RR
Tennessee(5/11/2020)
RR
Texas(5/11/2020)
RR
Utah(5/11/2020)
RR
Vermont(3/30/2012)
RR
Virginia(3/12/2018)
RR
Washington(5/11/2020)
RR
West Virginia(5/11/2020)
RR
Wisconsin(5/11/2020)
RR
Wyoming(5/11/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CM
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
AMERICAN EXPRESS ASSET MANAGEMENT GROUP INC | SELIGMAN INVESTMENTS | SELIGMAN | RIVERSOURCE INVESTMENTS, LLC | RIVERSOURCE INVESTMENTS | RIVERSOURCE INSURANCE ASSETS | RIVERSOURCE INSTITUTIONAL ADVISORS | RIVERSOURCE CAPITAL MANAGEMENT | RIVERSOURCE ALTERNATIVE INVESTMENTS | RIVERSOURCE | J. & W. SELIGMAN | COLUMBIA THREADNEEDLE INVESTMENTS NORTH AMERICA | COLUMBIA THREADNEEDLE INVESTMENTS | COLUMBIA THREADNEEDLE | COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC | COLUMBIA MANAGEMENT INVESTMENT ADVISERS | COLUMBIA MANAGEMENT CAPITAL ADVISERS | COLUMBIA MANAGEMENT
CRD#: 108257 / SEC#: 801-25943
RIA
Registered Investment Advisory firm - (12/20/1985 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
290 Congress Street, Boston, MA 02210
Mailing Address
Phone number
(800) 225-2365
Established
Firm type
Fiscal year end
# of Employees
910
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,061 |
| AUM (Assets Under Management) | $ 457,482,709,435 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/28/2025 |
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
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
CRD#: 108257Boston, MA 02210TRUST BUT VERIFY
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