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Lisa Buffington

Mma Securities LLC

Boston, MA

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Current Employers
Mma Securities Llc

1166 Avenue Of The Americas, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2024-10-17
TX RA APPROVED 2024-08-19
CT RA APPROVED 2024-08-02
  • MA RA
    APPROVED
    Since 2024-10-17
  • TX RA
    APPROVED
    Since 2024-08-19
  • CT RA
    APPROVED
    Since 2024-08-02

Branch Locations

101 Huntington Ave Suite 401, Boston, MA 02199 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Prudential Investment Managment Services Llc Hartford CT 09/2004 06/2018
Prudential Insruance Company Of America Hartford CT 09/2004 06/2018
Marsh & Mclennan Agency Boston CT 06/2018 Present
Prudential Retirement Hartford CT 04/2002 06/2018
Mma Securities Llc Boston MA 06/2018 Present
  • 09/2004 → 06/2018
    Prudential Investment Managment Services Llc
    Hartford, CT
  • 09/2004 → 06/2018
    Prudential Insruance Company Of America
    Hartford, CT
  • 06/2018 → Present
    Marsh & Mclennan Agency
    Boston, CT
  • 04/2002 → 06/2018
    Prudential Retirement
    Hartford, CT
  • 06/2018 → Present
    Boston, MA
Other Businesses

1) Capital Preparatory Schools Charter Mgmt Organization; 777 Main Street, Bridgeport, CT 06604; Board Chair; Not Investment related; Start Date: 2007; # of hours per month - 3; # of hours per month during trading hours - 0; Coordinates board governance processes including meeting minutes and school initiatives. 2) WIPN - WE. Inspire. Promote. Network.; Co-Chair of the Hartford Chapter; wipn.org; not investment-related; Start Date: April 2008; 1 hour spent per month; 0 hours spent per month during trading hours; primary duties include informing members of organized meetings. 3) Retirement Advisor Council; retirementadvisor.us; Chair of the Financial Literacy Committee; Investment Related; Start Date: Jan 1, 2022; 3 hours spent per month; 1 hour per month during trading hours; primary duties include working with committee of volunteers to develop financial literacy volunteer education initiatives.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-07-19
S63 Uniform Securities Agent State Law Examination 2004-07-27
  • S65 Uniform Investment Adviser Law Examination
    2024-07-19
  • S63 Uniform Securities Agent State Law Examination
    2004-07-27
Other Names
  • Lisa Marie Buffington
  • Lisa Marie Croisetiere
  • Lisa Marie Buffington

View on SEC IAPD

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