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AB

Alexander B. Buffone

TOWERBROOK FINANCIAL, L.P.
New York, NY 10022
Some features on this profile are disabled
CRD#: 7125211
AB

Professional summary

Alexander Blake Harrison Buffone, who also goes by Alexander Blake Harrison Buffone, is a registered financial professional currently at TOWERBROOK FINANCIAL, L.P. located in New York, New York.

Alexander is registered as a RR (Registered Representative) and started their career in finance in 2023. Alexander has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alexander Blake Harrison Buffone

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 Alexander Blake Harrison Buffone'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

March 19, 2025 - Present

TOWERBROOK FINANCIAL, L.P.

Office #1: Park Avenue Tower 65 East 55th Street 19th Floor, New York, NY, 10022
BD
CRD#: 155535
New York, NY
Past

March 3, 2023 - October 2, 2024

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
New York, NY
Past

January 10, 2023 - October 2, 2024

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
New York, NY

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
(3/19/2025)
RR
Alaska
(3/19/2025)
RR
Arizona
(3/19/2025)
RR
Arkansas
(3/19/2025)
RR
California
(3/19/2025)
RR
Colorado
(3/19/2025)
RR
Connecticut
(3/19/2025)
RR
Delaware
(3/19/2025)
RR
District of Columbia
(3/19/2025)
RR
Florida
(3/19/2025)
RR
Georgia
(3/19/2025)
RR
Hawaii
(3/19/2025)
RR
Idaho
(3/19/2025)
RR
Illinois
(3/19/2025)
RR
Indiana
(3/19/2025)
RR
Iowa
(3/19/2025)
RR
Kansas
(3/19/2025)
RR
Kentucky
(3/19/2025)
RR
Louisiana
(3/19/2025)
RR
Maine
(3/19/2025)
RR
Maryland
(3/19/2025)
RR
Massachusetts
(3/19/2025)
RR
Michigan
(3/19/2025)
RR
Minnesota
(3/19/2025)
RR
Mississippi
(3/19/2025)
RR
Missouri
(3/19/2025)
RR
Montana
(3/19/2025)
RR
Nebraska
(3/19/2025)
RR
Nevada
(3/19/2025)
RR
New Hampshire
(3/19/2025)
RR
New Jersey
(3/19/2025)
RR
New Mexico
(3/19/2025)
RR
New York
(3/19/2025)
RR
North Carolina
(3/19/2025)
RR
North Dakota
(3/19/2025)
RR
Ohio
(3/20/2025)
RR
Oklahoma
(3/19/2025)
RR
Oregon
(3/19/2025)
RR
Pennsylvania
(3/19/2025)
RR
Rhode Island
(3/19/2025)
RR
South Carolina
(3/19/2025)
RR
South Dakota
(3/19/2025)
RR
Tennessee
(3/19/2025)
RR
Texas
(3/19/2025)
RR
Utah
(3/19/2025)
RR
Vermont
(3/19/2025)
RR
Virginia
(3/19/2025)
RR
Washington
(3/19/2025)
RR
West Virginia
(3/19/2025)
RR
Wisconsin
(3/19/2025)
RR
Wyoming
(3/19/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/3/2023
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/10/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/5/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

TF
TOWERBROOK FINANCIAL, L.P.
TOWERBROOK FINANCIAL, L.P. | TOWERBROOK FINANCIAL, LLC

CRD#: 155535 / SEC#: , 8-68721

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
Park Avenue Tower 65 East 55th Street 19th Floor, New York, NY, 10022
Mailing Address
Park Avenue Tower 65 East 55th Street 19th Floor, New York, NY, 10022
Phone number
(212) 699-2260
Established
Delaware since 08/12/2010
Firm type
Partnership
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#
TOWERBROOK FINANCIAL LP, LLCLIMITED PARTNER
CARDINI, FILIPPO JOHNCOO AND PRINCIPAL5929485
GLASSMAN, JENNIFER TERNOEYCEO, FINOP, AND CFO5917654
ROSENTHAL, ABRIELLE HARACCO / AMLCO5929680
TOWERBROOK FINANCIAL GP, LLCGENERAL PARTNER

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

TOWERBROOK FINANCIAL, L.P.

CRD#: 155535New York, NY 10022

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