James S. Buckland
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Scott Buckland was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2016 - December 4, 2018
BNY ADVISORS
September 28, 2016 - December 4, 2018
PERSHING LLC
February 2, 2016 - September 19, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 1, 2016 - September 19, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 31, 2006 - September 4, 2013
WALNUT STREET SECURITIES, INC.
October 31, 2006 - September 4, 2013
TOWER SQUARE SECURITIES, INC.
October 31, 2006 - January 2, 2015
NEW ENGLAND SECURITIES
October 31, 2006 - January 21, 2015
MSI FINANCIAL SERVICES, INC.
August 28, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
August 28, 2006 - September 4, 2013
WALNUT STREET SECURITIES, INC.
August 28, 2006 - September 4, 2013
TOWER SQUARE SECURITIES, INC.
August 28, 2006 - January 2, 2015
NEW ENGLAND SECURITIES
August 28, 2006 - January 21, 2015
MSI FINANCIAL SERVICES, INC.
June 28, 2004 - May 12, 2006
TOWER SQUARE SECURITIES, INC.
June 23, 2004 - August 22, 2006
TOWER SQUARE SECURITIES, INC.
July 17, 2003 - June 17, 2004
QUICK & REILLY, INC.
July 17, 2003 - June 17, 2004
QUICK & REILLY, INC.
May 1, 2002 - May 29, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 1, 2001 - May 29, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 12, 2001 - July 16, 2001
COHEN & STEERS SECURITIES, LLC
December 5, 1991 - July 17, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 14, 1988 - December 16, 1991
LEHMAN BROTHERS INC.
December 13, 1985 - May 14, 1988
E. F. HUTTON & COMPANY INC
February 7, 1984 - February 13, 1985
E. F. HUTTON & COMPANY INC
August 24, 1982 - December 22, 1983
MOSELEY SECURITIES CORPORATION
Primary Firm SEC Registration
BNY ADVISORS
CRD#: 106108 / SEC#: 801-52378
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BNY ADVISORS
CRD#: 106108 / SEC#: 801-52378
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 122,578 |
| AUM (Assets Under Management) | $ 23,959,697,127 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/28/2024 | ||
| 10/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
