Patrick Joseph Buffa

CRD 809458 · Morgan Stanley · Providence, RI

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (12): Series 65Series 63Series 9Series 10Series 24Series 4Series 40Series 7TOSIESeries 5PCSeries 1
Registered states (35): Alabama · Arizona · Arkansas · California · Colorado · Connecticut · Florida · Georgia · Idaho · Illinois · Indiana · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Vermont · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 53
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 809458 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Morgan Stanley
Firm CRD: 149777
SEC number: 801-70103
Assets under management: $2.0T as of Jun 30, 2026
Website: www.morganstanley.com ↗
Phone: 914-225-5510
Firm location: Purchase, NY, 10577-2530

Employment history (10)

From the source registration record · current first

Morgan StanleyCurrent
Providence, RI · IA capacity

Oct 21, 2025 → present
Ifp Securities, LLC
BD capacity

May 22, 2019 → Nov 17, 2025
Independent Financial Partners
IA capacity

Jul 2, 2018 → Nov 17, 2025
Nbc Securities, Inc.
IA capacity

Jul 16, 2012 → Jul 9, 2018
Nbc Securities, Inc.
BD capacity

Jul 3, 2012 → Jul 6, 2018
Rbc Capital Markets, LLC
IA capacity

Feb 25, 2009 → Jul 25, 2012
Rbc Capital Markets, LLC
BD capacity

Feb 2, 2009 → Jul 25, 2012
Citigroup Global Markets Inc.
IA capacity

Apr 17, 1991 → Feb 19, 2009
Citigroup Global Markets Inc.
BD capacity

Feb 26, 1976 → Feb 19, 2009
Harris, Upham & Co. Incorporated
BD capacity

Nov 1, 1973 → Feb 26, 1976

Source & corrections

Where this page comes from

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