David T. Buxton

SVB WEALTH

Boston, MA 02109

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CRD#: 5401619

Professional summary

David Thomas Buxton, CFP®, who also goes by David T Buxton, David Buxton, is a registered financial advisor currently at SVB WEALTH located in Boston, Massachusetts and FIRST CITIZENS INVESTOR SERVICES, INC. located in Boston, Massachusetts.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. David has worked at 6 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David T Buxton | David Buxton

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.

Dually registered with affiliated firm SVB Wealth LLC. Investment Advisor; Provides investment advisory services to clients. Full time employee.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Thomas Buxton'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®

CFP^®

Certified Financial Planner

Experience

Current

February 23, 2022 - Present

SVB WEALTH

Office #1: 53 State St. Floor 28, Boston, MA 02109

RIA

CRD#: 172832

Boston, MA

Current

December 12, 2023 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 53 State St 28th Floor, Boston, MA 02109

RIA

CRD#: 44430

Boston, MA

Past

July 2, 2020 - December 31, 2023

SVB INVESTMENT SERVICES INC.

CRD#: 168116

Newton, MA

Past

September 6, 2017 - July 29, 2022

SVB INVESTMENT SERVICES INC.

RIA

CRD#: 168116

Newton, MA

Past

December 20, 2016 - January 17, 2017

SVB ASSET MANAGEMENT

RIA

CRD#: 124567

Newton, MA

Past

May 27, 2014 - January 17, 2017

SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK

CRD#: 46902

NEWTON, MA

Past

November 11, 2010 - May 15, 2014

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

BOSTON, MA

Past

October 10, 2007 - May 15, 2014

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

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".

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 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.

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

IAR

California
(5/21/2024)

IAR

Colorado
(5/21/2024)

IAR

Connecticut
(2/23/2022)

IAR

Florida
(7/19/2024)

IAR

Georgia
(2/24/2022)

IAR

Massachusetts
(3/15/2022)

Massachusetts
(1/1/2024)

IAR

New Hampshire
(5/21/2024)

IAR

New York
(2/23/2022)

IAR

Texas
(5/21/2024)

IAR

Virginia
(5/21/2024)

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

State Security Law Exam

Series 63

Date: 1/24/2020

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/10/2010

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 1/17/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/7/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/9/2007

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 1/10/2008

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 Approved)

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Contact information

Main Address

53 State Street 28th Floor, Boston, MA 02109

Mailing Address

Po Box 27131, Raleigh, NC 27611

Phone number

(617) 223-0200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SVB WEALTH LLC (3/30/2025)

SVB WEALTH LLC APPENDIX 1/ WRAP BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts	3,739
AUM (Assets Under Management)	$ 4,983,411,995

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/21/2025	Cover Page	Report
09/20/2024	Cover Page	Report
10/31/2022	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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Advisor Monitoring

Firm Stability Insights

David T. Buxton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Thomas Buxton's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST CITIZENS INVESTOR SERVICES, INC.

SVB INVESTMENT SERVICES INC.

SVB INVESTMENT SERVICES INC.

SVB ASSET MANAGEMENT

SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

SVB WEALTH

State Registrations and Notice Filings

Exams

Series 63

Date: 1/24/2020

Series 65

Date: 11/10/2010

Series 6TO

Date: 1/2/2023

SIE

Date: 1/17/2017

Series 7

Date: 10/7/2010

Series 6

Date: 10/9/2007

Series 26

Date: 1/10/2008

FINRA

Current Firm

SVB WEALTH

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

SVB WEALTH

TRUST BUT VERIFY

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