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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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SB

Sara E. Buffington

MORNINGSTAR INVESTMENT MANAGEMENT LLC
Chicago, IL 60602
Some features on this profile are disabled
CRD#: 6713488
SB

Professional summary

Sara Elizabeth Buffington, AIF® is a registered financial advisor currently at MORNINGSTAR INVESTMENT MANAGEMENT LLC located in Chicago, Illinois.

Sara is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Sara has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.
***Wag!; Not Investment Related; ; Dog Walker; Walking dogs for those who are unable to walk them on their own.; Start Date: 02/01/2019; 8 hrs per month; 0 during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sara Elizabeth Buffington's CRS (Customer Relationship Summary).
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®
AIF®

Accredited Investment Fiduciary

Experience

Current

January 7, 2025 - Present

MORNINGSTAR INVESTMENT MANAGEMENT LLC

Office #1: 22 West Washington Street, Chicago, IL 60602
RIA
CRD#: 108031
Chicago, IL
Past

December 9, 2019 - June 16, 2025

MORNINGSTAR INVESTMENT SERVICES LLC

RIA
CRD#: 112525
CHICAGO, IL
Past

November 14, 2019 - June 16, 2025

MORNINGSTAR INVESTMENT SERVICES LLC

BD
CRD#: 112525
CHICAGO, IL
Past

May 17, 2018 - August 15, 2019

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
OVERLAND PARK, KS
Past

October 17, 2016 - August 15, 2019

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
OVERLAND PARK, KS

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".
MI
MORNINGSTAR INVESTMENT MANAGEMENT LLC
IBBOTSON ASSOCIATES, INC. | MORNINGSTAR INVESTMENT MANAGEMENT LLC | MORNINGSTAR ASSOCIATES, LLC

CRD#: 108031 / SEC#: 801-56896

RIA
Registered Investment Advisory firm - (10/18/1999 Approved)

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.

Highlighted states indicate IAR registrations

IAR
Arkansas
(1/16/2025)
IAR
California
(1/7/2025)
IAR
Colorado
(1/7/2025)
IAR
Connecticut
(1/7/2025)
IAR
Florida
(6/5/2025)
IAR
Georgia
(8/15/2025)
IAR
Illinois
(1/7/2025)
IAR
Kansas
(8/12/2025)
IAR
Maryland
(1/7/2025)
IAR
Massachusetts
(4/23/2025)
IAR
Michigan
(1/9/2025)
IAR
Minnesota
(1/8/2025)
IAR
Missouri
(1/7/2025)
IAR
Nevada
(1/7/2025)
IAR
New Hampshire
(8/14/2025)
IAR
New Jersey
(1/7/2025)
IAR
New York
(1/7/2025)
IAR
North Carolina
(1/9/2025)
IAR
Ohio
(1/7/2025)
IAR
Oklahoma
(8/13/2025)
IAR
Pennsylvania
(1/7/2025)
IAR
South Carolina
(1/9/2025)
IAR
Texas
(1/7/2025)
IAR
Utah
(1/8/2025)
IAR
Virginia
(1/8/2025)
IAR
Washington
(1/7/2025)
IAR
Wisconsin
(1/7/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/14/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/25/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/17/2016
Investment Company Products/Variable Contracts Representative Examination

Current Firm

MI
MORNINGSTAR INVESTMENT MANAGEMENT LLC
IBBOTSON ASSOCIATES, INC. | MORNINGSTAR INVESTMENT MANAGEMENT LLC | MORNINGSTAR ASSOCIATES, LLC

CRD#: 108031 / SEC#: 801-56896

RIA
Registered Investment Advisory firm - (10/18/1999 Approved)
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Contact information

Main Address
22 West Washington Street, Chicago, IL 60602
Mailing Address
Phone number
(312) 696-6000
Established
Firm type
Fiscal year end
# of Employees
323

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

MORNINGSTAR WEALTH SERVICES (11/10/2025)
INSTITUTIONAL ADVISORY SERVICES (3/28/2025)
RETIREMENT SERVICES FOR INDIVIDUALS (3/28/2025)
METLIFE EXPERTSELECT PROGRAM (3/28/2025)

Regulatory assets under management

Total Number of Accounts592,301
AUM (Assets Under Management)$ 76,595,000,000

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

MORNINGSTAR INVESTMENT MANAGEMENT LLC

CRD#: 108031Chicago, IL 60602

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