Stephen Buckley, financial advisor Cape Neddick ME
93 score

Stephen Buckley

CRD Number: 3078931
Current Firm: Columbia Management Investment Advisers, LLC

Stephen Buckley (CRD# 3078931) is an Investment Advisor Representative working at Columbia Management Investment Advisers, LLC in Cape Neddick, ME and has over 17 years of experience in the finance industry.

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Company Name Location Dates Years
Riversource Investments Minneapolis, MN May 2010 - Current 6
Riversource Fund Distributors, Inc. Cary, NC May 2010 - Current 6
Columbia Management Advisors, LLC Boston, MA Nov 2005 - Current 11
Columbia Management Group Boston, MA Jul 1999 - Current 17
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1999
S65 NASAA Investment Advisors Law Examination Oct 2005
Contact Info for Stephen A. Buckley
Phone Number: 800-225-2365
Registered State(s):
  • ME
  • MA
  • NH
By the Numbers
  • Total Assets Under Management
    338,819
    MILLIONS
  • Total Number of Accounts
    8,954
    ACCOUNTS
  • Average Account Value
    $37,839,978
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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