Individual Firm
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PATRICK JOSEPH BUFFA
CRD#: 809458
IA
B
INDEPENDENT FINANCIAL PARTNERSCRD#: 125112 307 N Park Ave
Winter Park, FL 32789
Winter Park, FL 32789
IFP SECURITIES, LLCCRD#: 297287 307 N PARK AVENUE
WINTER PARK, FL 32789
WINTER PARK, FL 32789
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12/18/2008
Customer Dispute
Settled
7/18/2003
Customer Dispute
Denied
State Registrations
IA
Arizona 7/13/2018
IA
Nevada 8/14/2018
IA
Florida 7/11/2018
IA
New Hampshire 7/2/2018
B
Florida 6/18/2019
B
New York 2/23/2021
IA
Georgia 10/16/2020
IA
Pennsylvania 7/2/2018
IA
Maine 7/2/2018
IA
Washington 7/2/2018
IA
Massachusetts 7/25/2018
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 7/2/2018
B
Registered with this firm since 5/22/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/16/2012 - 07/09/2018 | WINTER PARK, FL | |
B | 07/03/2012 - 07/06/2018 | WINTER PARK, FL | |
IA | 02/25/2009 - 07/25/2012 | ORLANDO, FL | |
B | 02/02/2009 - 07/25/2012 | ORLANDO, FL | |
IA | 04/17/1991 - 02/19/2009 | ORLANDO, FL | |
B | 02/26/1976 - 02/19/2009 | ORLANDO, FL | |
B | 11/01/1973 - 02/26/1976 |
11/01/1973 - 02/26/1976
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.