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Laurie Ann Buffington

Morgan Stanley

Milwaukee, WI

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2011-01-26
WI RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2011-01-26
  • WI RA
    APPROVED
    Since 2009-06-01

Branch Locations

411 East Wisconsin Avenue Suite 2200, Milwaukee, WI 53202 • 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
Morgan Stanley Smith Barney Milwaukee WI 06/2009 Present
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Milwaukee, WI
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-11-15
S63 Uniform Securities Agent State Law Examination 1995-12-11
  • S65 Uniform Investment Adviser Law Examination
    2006-11-15
  • S63 Uniform Securities Agent State Law Examination
    1995-12-11
Other Names
  • Laurie Ann Urban

View on SEC IAPD

Other Firms

ROBERT W. BAIRD & CO. INCORPORATED
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY V, LLC
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY III, LLC
BAIRD CAPITAL MANAGEMENT COMPANY, LLC
NATIONAL INVESTMENT SERVICES OF AMERICA, LLC
BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY, LLC
BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY I, LLC
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY IV, LLC

Other Investors

GREGORY BERNARD GREENHOUSE
GREGORY S PINSKY
SCOTT JOHN HANSON
MICHAEL JOSEPH GLAISNER
ADAM JOSEPH KAPUSTA
PAMELA CAIN-HENRY
LAURA MARIE HEBERT
DANIEL JOSEPH RENOUARD

Other Offices

ROBERT W. BAIRD & CO. INCORPORATED · MILWAUKEE, WI
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY V, LLC · MILWAUKEE, WI
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY III, LLC · MILWAUKEE, WI
BAIRD CAPITAL MANAGEMENT COMPANY, LLC · MILWAUKEE, WI
NATIONAL INVESTMENT SERVICES OF AMERICA, LLC · MILWAUKEE, WI
BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY, LLC · MILWAUKEE, WI
BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY I, LLC · MILWAUKEE, WI
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY IV, LLC · MILWAUKEE, WI

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