Mark A. Buffington
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.
Mark Andrew Buffington was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2005. Mark had worked at 4 firms and has passed the Series 63, Series 65, Series 7 and Series 44 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2007 - April 14, 2009
MUTUAL SECURITIES, INC.
April 19, 2007 - April 19, 2007
BIP WEALTH, LLC
April 19, 2007 - February 20, 2019
BIP WEALTH, LLC
July 28, 2006 - August 1, 2007
MUTUAL SECURITIES, INC.
April 25, 2006 - December 31, 2007
PEACHTREE FINANCIAL MANAGEMENT, LLC
May 11, 2005 - August 15, 2005
PHOENIX PARTNERS, LP
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
Series 44
Date: 7/7/1999
PCX Market Maker ExamCurrent Firm
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
Red Flags
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