Lisa Buffington
AIF®Professional Summary
Lisa Buffington, AIF®, who also goes by Lisa Marie Buffington Mrs, Lisa Marie Buffington, Lisa Marie Croisetiere, is a registered financial advisor currently at MMA SECURITIES LLC located in Boston, Massachusetts. Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Lisa has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Lisa Marie Buffington Mrs, Lisa Marie Buffington, Lisa Marie Croisetiere
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Credentials
Years of Experience
23 years in the financial services industry
Current & Past Employments
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Current Firm
COMPASS FINANCIAL PARTNERS | PRECEPT ADVISORY GROUP LLC | NIA SECURITIES, L.L.C. | MMA SECURITIES LLC | MMA RETIREMENT & WEALTH | MMA - DAWSON | MMA - CENTURION | MMA - BROWER | MMA - BARNEY & BARNEY | MMA - ASSURANCE
Contact Information
Main Address
1166 Avenue Of The Americas, New York, NY 10036Mailing Address
1166 Avenue Of The Americas, New York, NY 10036Phone Number
(917) 625-4069Established
New Jersey since 02/03/1998Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Medium# of Employees
211SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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Primary Firm SEC Registration
COMPASS FINANCIAL PARTNERS | PRECEPT ADVISORY GROUP LLC | NIA SECURITIES, L.L.C. | MMA SECURITIES LLC | MMA RETIREMENT & WEALTH | MMA - DAWSON | MMA - CENTURION | MMA - BROWER | MMA - BARNEY & BARNEY | MMA - ASSURANCE
State Registrations and Notice Filings
(10/24/2023)
(10/24/2023)
(10/24/2023)
(6/28/2018)
(8/2/2024)
(10/24/2023)
(10/24/2023)
(10/24/2023)
(10/24/2023)
(10/24/2023)
(12/9/2019)
(10/24/2023)
(6/28/2018)
(10/17/2024)
(10/24/2023)
(10/24/2023)
(6/28/2018)
(6/28/2018)
(10/24/2023)
(10/24/2023)
(10/25/2023)
(6/28/2018)
(6/28/2018)
(10/24/2023)
(10/24/2023)
(8/19/2024)
(6/28/2018)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 2004About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jul 2004About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Lisa Buffington's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lisa Buffington's CRS (Customer Relationship Summary).
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