Client Comments


“Ann Buffie has worked with me for many years.  She is a consummate professional who provides sound business counsel that goes well beyond compliance issues. Not only is Ms. Buffie current on regulatory issues, she is knowledgeable about business practices. She takes service to the next level by advising clients of additional matters to consider when arriving at policy decisions. In addition, Ms. Buffie uses all available resources to devise practical solutions – and her finished product is accurate and comprehensive.” Michael Burns, Vice President and Chief Compliance Officer, USAllianz Securities.

“Ann Buffie has added more value to my business than any other individual. Her vast experience and expertise and her mental agility enable her to offer keen perceptions into business conditions – and creative solutions for continuous improvement. She also has the uncommon ability to see things from her client’s perspective, so that our response is to real needs – not likelihoods.

“Ms. Buffie’s unique ability to provide client-friendly practical solutions to serious compliance issues, combined with her up-to-date knowledge about the industry and marketplace, make her very credible and persuasive. She inspires marketing and sales personnel to genuinely want to do things the right way. 

“And when Ms. Buffie shares her real-life examples of world-class policies and procedures, it’s easy to understand the meaning of ‘value-added’ service.” Kenneth J. Kalis, president, Kenneth J. Kalis Company, Inc.

“Ann Buffie is very knowledgeable and motivated.  The projects completed for American Express Financial Advisors have been extremely thorough and timely.  In addition, Ms. Buffie’s willingness to make recommendations on best practices while maintaining confidentiality is an asset to all her clients.  Working with her is a pleasure.” Diana Stallone, Vice President of Market Conduct Practices, American Express Financial Advisors

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