AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MB

Michael T. Buono

NPM SECURITIES
New York, NY 10016
Some features on this profile are disabled
CRD#: 6340065
MB

Professional summary

Michael Thomas Mackay Buono, who also goes by Michael Thomas Buono, is a registered financial professional currently at NPM SECURITIES, LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2016. Michael has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Thomas Buono

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Thomas Mackay Buono'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®
None

Experience

Current

February 28, 2024 - Present

NPM SECURITIES, LLC

Office #1: 3 East 28th Street 7th Floor, New York, NY 10016
BD
CRD#: 168469
New York, NY
Past

October 8, 2018 - February 26, 2024

EQUITYZEN SECURITIES LLC

BD
CRD#: 281820
NEW YORK, NY
Past

October 12, 2016 - September 25, 2018

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WEEHAWKEN, NJ
Past

August 29, 2016 - September 25, 2018

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(2/28/2024)
RR
Alaska
(2/28/2024)
RR
Arizona
(2/28/2024)
RR
Arkansas
(2/28/2024)
RR
California
(2/28/2024)
RR
Colorado
(2/28/2024)
RR
Connecticut
(2/28/2024)
RR
Delaware
(2/28/2024)
RR
District of Columbia
(2/28/2024)
RR
Florida
(2/28/2024)
RR
Georgia
(2/28/2024)
RR
Hawaii
(2/28/2024)
RR
Idaho
(2/28/2024)
RR
Illinois
(2/28/2024)
RR
Indiana
(2/28/2024)
RR
Iowa
(2/28/2024)
RR
Kansas
(2/28/2024)
RR
Kentucky
(2/28/2024)
RR
Louisiana
(2/28/2024)
RR
Maine
(2/28/2024)
RR
Maryland
(2/28/2024)
RR
Massachusetts
(2/28/2024)
RR
Michigan
(2/28/2024)
RR
Minnesota
(2/28/2024)
RR
Mississippi
(2/28/2024)
RR
Missouri
(2/28/2024)
RR
Montana
(2/28/2024)
RR
Nebraska
(2/28/2024)
RR
Nevada
(2/28/2024)
RR
New Hampshire
(2/28/2024)
RR
New Jersey
(2/28/2024)
RR
New Mexico
(2/28/2024)
RR
New York
(2/28/2024)
RR
North Carolina
(2/28/2024)
RR
North Dakota
(2/28/2024)
RR
Ohio
(2/28/2024)
RR
Oklahoma
(2/28/2024)
RR
Oregon
(2/28/2024)
RR
Pennsylvania
(2/28/2024)
RR
Puerto Rico
(2/28/2024)
RR
Rhode Island
(2/28/2024)
RR
South Carolina
(2/28/2024)
RR
South Dakota
(2/28/2024)
RR
Tennessee
(2/28/2024)
RR
Texas
(2/28/2024)
RR
Utah
(2/28/2024)
RR
Vermont
(2/28/2024)
RR
Virgin Islands
(2/28/2024)
RR
Virginia
(2/28/2024)
RR
Washington
(2/28/2024)
RR
West Virginia
(2/28/2024)
RR
Wisconsin
(2/28/2024)
RR
Wyoming
(2/28/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/12/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/25/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/29/2016
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/9/2022
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NS
NPM SECURITIES, LLC
NPM SECURITIES, LLC

CRD#: 168469 / SEC#: , 8-69312

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
3 East 28th Street 7th Floor, New York, NY 10016
Mailing Address
3 East 28th Street 7th Floor, New York, NY 10016
Phone number
(646) 968-7064
Established
Delaware since 05/01/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NASDAQ PRIVATE MARKET, LLC (FKA: COPELAND MARKETS)SHAREHOLDER
AFONJA, LATIFATFINOP5443130
CALLAHAN, THOMAS FRANCISCHIEF EXECUTIVE OFFICER2278823
KROCULICK, ANDREW JOHNHEAD OF BUSINESS OPERATIONS AND CLIENT EXPERIENCE7759899
SETARO, CHRISTOPHER MICHAELCHIEF COMPLIANCE OFFICER2635774

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

NPM SECURITIES, LLC

CRD#: 168469New York, NY 10016

TRUST BUT VERIFY

Monitor Michael Buono

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics