Steffen Buschbacher
Professional Summary
Steffen Buschbacher is a registered financial advisor currently at RED TOP ADVISORS LLC located in Seattle, Washington and SPARK CHANGE SECURITIES LLC located in Seattle, Washington. Steffen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Steffen has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, Series 82TO, SIE, Series 79, Series 7, Series 6, Series 14 and...
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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Contact Information
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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
12 years in the financial services industry
Current & Past Employments
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Current Firm
RED TOP ADVISORS | RED TOP ADVISORS LLC
Contact Information
Main Address
107 Spring St. Ste. 4017, Seattle, WA 98104Phone Number
(206) 617-4525# of Employees
1Documents
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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.
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State Registrations and Notice Filings
(7/26/2018)
(8/24/2022)
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.
Series 82TO — Limited Representative-Private Securities Offerings
Passed Jan 2023About the Series 82TO examSeries 79 — Investment Banking Registered Representative Examination
Passed Mar 2016About the Series 79 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 2014About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Steffen Buschbacher's CRS (Customer Relationship Summary).
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