CB
Charles M. Buffington
PARK AVENUE SECURITIES LLC
Athens, GA 30605
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CRD#: 1982291
CB
Professional summary
Charles Marion Buffington, CFP®, ChFC®, who also goes by Charlie Buff, Buff Buffington, Charles M Buffington, Charlie Buffington, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Athens, Georgia.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Charles has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charlie Buff | Buff Buffington | Charles M Buffington | Charlie Buffington
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.
1. INSURANCE SERVICES-When a Guardian product doesn't satisfy a clients needs, I use Innovative Underwriters, Start: 09/01/2005, Address: 1800 JFK Blvd Suite 700 Philadelphia, PA 19103, 1 non bus hr per month, Investment related,
CRS (Client Relationship Summary) - RIA
Click below to view Charles Marion Buffington's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles Marion Buffington'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®
CFP®
Start date: 1992
Experience
Current
June 22, 2006 - Present
PARK AVENUE SECURITIES LLC
Office #1: 649-7 S.milledge Ave, Athens, GA 30605RIA
BD
CRD#: 46173
Athens, GA
Current
June 15, 2004 - Present
PARK AVENUE SECURITIES LLC
Office #1: 649-7 S.milledge Ave, Athens, GA 30605RIA
BD
CRD#: 46173
Athens, GA
Past
July 29, 2009 - December 31, 2010
PEACHTREE PLANNING ADVISORS, INC.
RIA
CRD#: 112787
ATLANTA, GA
Past
July 8, 2004 - December 18, 2007
PEACHTREE PLANNING ADVISORS, INC.
RIA
CRD#: 112787
ATLANTA, GA
Past
March 4, 2003 - June 4, 2004
OSAIC FA, INC.
RIA
CRD#: 3978
ATLANTA, GA
Past
October 15, 1998 - June 4, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
October 15, 1998 - June 4, 2004
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
October 18, 1989 - October 16, 1998
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PA
PARK AVENUE SECURITIES LLC
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
RIA
Registered Investment Advisory firm - SEC (11/13/2000 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/2/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.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(7/11/2017)
RR
Georgia(6/15/2004)
IAR
Georgia(6/22/2006)
RR
Kentucky(9/2/2025)
RR
Maryland(9/2/2020)
RR
Massachusetts(1/25/2024)
RR
North Carolina(4/9/2018)
RR
South Carolina(1/8/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PARK AVENUE SECURITIES LLC
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
RIA
Registered Investment Advisory firm - SEC (11/13/2000 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/2/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
10 Hudson Yards, New York, NY 10001
Mailing Address
10 Hudson Yards, New York, NY 10001
Phone number
+1 (888) 600-4667
Established
Delaware since 08/20/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,984
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA | OWNER | |
| BOGGS, ALLEN WARREN | HEAD OF PRODUCT & SUPERVISION | 4751363 |
| CASWELL, MARIANNE GRACE | PRESIDENT AND ELECTED MEMBER | 6424651 |
| DAVARASHVILI, KATE | FINOP/PRINCIPAL FINANCIAL OFFICER. | 5642325 |
| DESROCHERS, CARL | ELECTED MEMBER | 7807194 |
| GALLO, JOSEPH MICHAEL | CHIEF COMPLIANCE OFFICER | 3108044 |
| HERGAN, JOSHUA NEIL | GENERAL COUNSEL | 4572643 |
| LESINA, LEYLA ADA | ELECTED MEMBER | 3004323 |
| MAHER, CARLY PRITCHARD | HEAD OF WEALTH MANAGEMENT STRATEGY AND BUSINESS OPERATIONS | 4003223 |
| PERRY, MICHAEL ANDREW | ELECTED MEMBER | 2688179 |
| RYNIKER, MICHAEL JOHN | PRINCIPAL OPERATIONS OFFICER | 2474604 |
Regulatory assets under management
| Total Number of Accounts | 71,074 |
| AUM (Assets Under Management) | $ 14,998,852,974 |
Disclosures
| Regulatory Event | 20 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 01/22/2025 | ||
| 11/15/2023 |
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
PARK AVENUE SECURITIES LLC
CRD#: 46173Athens, GA 30605TRUST BUT VERIFY
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