Anna M. Buffie
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Anna Marie Buffie, who also goes by Ann Buffie, Anna M Buffie, Anna Marie Salvage, Anna Marie Savage, was a registered financial professional .
Anna is a previously registered financial professional and started their career in finance in 1986. Anna had worked at 8 firms and has passed the Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2012 - August 12, 2013
ALLIED BEACON PARTNERS, INC.
April 19, 2010 - July 26, 2010
KCOE CAPITAL LLC
January 3, 2007 - April 15, 2008
MANCHESTER FINANCIAL GROUP, LLC
May 23, 2000 - October 3, 2005
CAP PRO BROKERAGE SERVICES, INC.
August 29, 1997 - October 7, 1998
AMERICAN EXPRESS SERVICE CORPORATION
August 29, 1997 - October 7, 1998
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
March 20, 1986 - October 7, 1998
AMERICAN EXPRESS FINANCIAL CORPORATION
March 20, 1986 - October 7, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALLIED BEACON PARTNERS, INC.
CRD#: 46227 / SEC#: , 8-51357
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BEACON AQUISITION PARTNERS, INC | SHAREHOLDER | |
| MATHER, ROBERT PHILIP | PRESIDENT, CEO, CCO, CFO AND CORPORATE SECRETARY | 1764918 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
