Horace E. 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.
Horace Eugene Buffington, who also goes by Hoppy Buffington, was a registered financial professional .
Horace is a previously registered financial professional and started their career in finance in 2013. Horace had worked at 2 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2016 - August 29, 2017
RAA
November 20, 2013 - November 14, 2016
ADVISOR FINANCIAL SERVICES, LLP
State Registrations and Notice Filings
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Current Firm
RAA
CRD#: 108203 / SEC#: 801-60003
Contact information
Red Flags
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