Steffen Buschbacher

RED TOP ADVISORS LLC

SEATTLE, WA

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CRD#: 6248267

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 Series 24 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.

Business name: Casual Recovery Enterprises Location: San Francisco, CA Nature of business: Medical device company Role: Advisor/Shareholder Time spent: Less than one hour per month, none during trading hours Start date: August 2022 Duties: Advise on business/sales strategy and partnerships Non-investment-related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steffen Buschbacher'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®

None

Experience

Current

July 26, 2018 - Present

RED TOP ADVISORS LLC

RIA

CRD#: 290239

SEATTLE, WA

Current

August 12, 2022 - Present

SPARK CHANGE SECURITIES LLC

Office #2: 1340 4th Avenue Unit 4109, Seattle, WA 98101-2575

CRD#: 309292

Seattle, WA

Past

April 15, 2016 - December 24, 2024

CAPITAL SUISSE LLC

CRD#: 269924

SEATTLE, WA

Past

February 13, 2015 - March 22, 2018

CAPITAL PRIVÉ SUISSE S.A.

RIA

CRD#: 159909

SEATTLE, WA

Past

May 17, 2014 - July 10, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

SEATTLE, WA

Past

February 8, 2014 - July 10, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

SEATTLE, WA

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

Washington
(7/26/2018)

Washington
(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

State Security Law Exam

IAR

Series 65

Date: 5/13/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/4/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 82TO

Date: 1/2/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 3/8/2016

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 8/17/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/8/2014

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 8/25/2015

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

RED TOP ADVISORS LLC

RED TOP ADVISORS | RED TOP ADVISORS LLC

CRD#: 290239 / SEC#:

Texas

Registered Investment Advisory firm - (3/5/2025 Terminated)

Washington

Registered Investment Advisory firm - (7/26/2018 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Seattle, WA

Mailing Address

Phone number

(206) 617-4525

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Firm Stability Insights

Steffen Buschbacher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steffen Buschbacher's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPARK CHANGE SECURITIES LLC

CAPITAL SUISSE LLC

CAPITAL PRIVÉ SUISSE S.A.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/13/2014

Series 63

Date: 3/4/2014

Series 99TO

Date: 1/2/2023

Series 82TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 79

Date: 3/8/2016

Series 7

Date: 8/17/2015

Series 6

Date: 2/8/2014

Series 14

Date: 1/2/2023

Series 24

Date: 8/25/2015

FINRA

Current Firm

RED TOP ADVISORS LLC

Contact information

Documents

Red Flags

Company Information

RED TOP ADVISORS LLC

TRUST BUT VERIFY

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