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Sara Elizabeth Buffington

Morningstar Investment Management LLC

Chicago, IL

CRD 6713488

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Employer firm

Morningstar Investment Management LLC CRD 108031

$87.8B regulatory AUM 1,866,524 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Morningstar Investment Management Llc

22 West Washington Street, Chicago, IL 60602 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2025-08-15
NH RA APPROVED 2025-08-14
OK RA APPROVED 2025-08-13
KS RA APPROVED 2025-08-12
FL RA APPROVED 2025-06-05
MA RA APPROVED 2025-04-23
AR RA APPROVED 2025-01-16
MI RA APPROVED 2025-01-09
NC RA APPROVED 2025-01-09
SC RA APPROVED 2025-01-09
MN RA APPROVED 2025-01-08
UT RA APPROVED 2025-01-08
VA RA APPROVED 2025-01-08
CA RA APPROVED 2025-01-07
CO RA APPROVED 2025-01-07
CT RA APPROVED 2025-01-07
IL RA APPROVED 2025-01-07
MD RA APPROVED 2025-01-07
MO RA APPROVED 2025-01-07
NV RA APPROVED 2025-01-07
NJ RA APPROVED 2025-01-07
NY RA APPROVED 2025-01-07
OH RA APPROVED 2025-01-07
PA RA APPROVED 2025-01-07
TX RA APPROVED_RES 2025-01-07
WA RA APPROVED 2025-01-07
WI RA APPROVED 2025-01-07
  • GA RA
    APPROVED
    Since 2025-08-15
  • NH RA
    APPROVED
    Since 2025-08-14
  • OK RA
    APPROVED
    Since 2025-08-13
  • KS RA
    APPROVED
    Since 2025-08-12
  • FL RA
    APPROVED
    Since 2025-06-05
  • MA RA
    APPROVED
    Since 2025-04-23
  • AR RA
    APPROVED
    Since 2025-01-16
  • MI RA
    APPROVED
    Since 2025-01-09
  • NC RA
    APPROVED
    Since 2025-01-09
  • SC RA
    APPROVED
    Since 2025-01-09
  • MN RA
    APPROVED
    Since 2025-01-08
  • UT RA
    APPROVED
    Since 2025-01-08
  • VA RA
    APPROVED
    Since 2025-01-08
  • CA RA
    APPROVED
    Since 2025-01-07
  • CO RA
    APPROVED
    Since 2025-01-07
  • CT RA
    APPROVED
    Since 2025-01-07
  • IL RA
    APPROVED
    Since 2025-01-07
  • MD RA
    APPROVED
    Since 2025-01-07
  • MO RA
    APPROVED
    Since 2025-01-07
  • NV RA
    APPROVED
    Since 2025-01-07
  • NJ RA
    APPROVED
    Since 2025-01-07
  • NY RA
    APPROVED
    Since 2025-01-07
  • OH RA
    APPROVED
    Since 2025-01-07
  • PA RA
    APPROVED
    Since 2025-01-07
  • TX RA
    APPROVED_RES
    Since 2025-01-07
  • WA RA
    APPROVED
    Since 2025-01-07
  • WI RA
    APPROVED
    Since 2025-01-07

Branch Locations

22 West Washington Street, Chicago, IL 60602 • 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
Principal Life Insurance Company Overland Park KS 10/2016 08/2019
Principal Securities Inc Overland Park KS 10/2016 08/2019
Great Western Bank Overland Park KS 06/2012 10/2016
Morningstar Investment Services Chicago IL 09/2019 Present
  • 10/2016 → 08/2019
    Principal Life Insurance Company
    Overland Park, KS
  • 10/2016 → 08/2019
    Principal Securities Inc
    Overland Park, KS
  • 06/2012 → 10/2016
    Great Western Bank
    Overland Park, KS
  • 09/2019 → Present
    Morningstar Investment Services
    Chicago, IL
Previous Registrations
  • 2019-12-09 → 2025-06-16
    Morningstar Investment Services Llc
    Chicago, IL
    Chicago, IL
    Chicago, IL
  • 2018-05-17 → 2019-08-15
    Principal Securities, Inc.
    Overland Park, KS
Other Businesses

***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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-05-14
S63 Uniform Securities Agent State Law Examination 2016-10-25
  • S65 Uniform Investment Adviser Law Examination
    2018-05-14
  • S63 Uniform Securities Agent State Law Examination
    2016-10-25

View on SEC IAPD

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Nearby Offices

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PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL

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