Pamela L. 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.
Pamela Leigh Buffington, who also goes by Pamela L Buffington, Pamela B Durant, Pamela Durant, was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 1979. Pamela had worked at 11 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2015 - May 19, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 30, 2014 - May 8, 2015
PARK AVENUE SECURITIES LLC
October 19, 2009 - December 22, 2011
LPL FINANCIAL LLC
October 10, 2007 - November 2, 2009
MUTUAL SERVICE CORPORATION
October 20, 2005 - November 17, 2005
NATCITY INVESTMENTS, INC.
September 29, 2000 - October 27, 2005
MUTUAL SERVICE CORPORATION
September 29, 1995 - May 28, 1999
SECURITIES AMERICA, INC.
September 8, 1986 - December 31, 1993
MARINER FINANCIAL SERVICES, INC.
June 24, 1986 - September 17, 1986
CONSECO FINANCIAL SERVICES, INC.
February 2, 1982 - June 3, 1986
MORGAN STANLEY DW INC.
July 29, 1980 - February 9, 1982
UBS FINANCIAL SERVICES INC.
August 22, 1979 - October 24, 1979
PARKER/HUNTER INCORPORATED
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/15/2025 | ||
| 11/25/2024 | ||
| 08/24/2023 |
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.
