James B. Buchanan

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CRD#: 1074015

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 Beaufort Buchanan, who also goes by James B Buchanan, Jim Buchanan, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1982. James had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James B Buchanan | Jim Buchanan

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 25, 2007 - August 6, 2012

ZIONS CAPITAL ADVISORS, INC.

RIA

CRD#: 131308

PRESCOTT, AZ

Past

May 15, 2007 - August 6, 2012

ZIONS DIRECT, INC.

CRD#: 17776

PRESCOTT, AZ

Past

April 5, 2007 - May 14, 2007

ZIONS CAPITAL ADVISORS, INC.

RIA

CRD#: 131308

PRESCOTT, AZ

Past

March 20, 2007 - May 14, 2007

ZIONS DIRECT, INC.

CRD#: 17776

PRESCOTT, AZ

Past

November 19, 1989 - June 5, 2007

OSAIC WEALTH, INC.

CRD#: 23131

PRESCOTT, AZ

Past

December 24, 1987 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

November 24, 1982 - December 24, 1987

FINANCIAL PLANNERS EQUITY CORPORATION

CRD#: 7420

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ZIONS CAPITAL ADVISORS, INC.

CRD#: 131308 / SEC#: 801-63287

RIA

Registered Investment Advisory firm - (7/28/2004 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/16/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/23/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/20/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/26/1985

General Securities Principal Examination

Current Firm

ZIONS CAPITAL ADVISORS, INC.

CRD#: 131308 / SEC#: 801-63287

RIA

Registered Investment Advisory firm - (7/28/2004 Approved)

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Contact information

Main Address

Zions Capital Advisors One South Main St. 12th Floor, Salt Lake City, UT, 84133

Mailing Address

Phone number

(800) 608-3202

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ZIONS CAPITAL ADVISORS, INC. (5/7/2025)

Regulatory assets under management

Total Number of Accounts	88
AUM (Assets Under Management)	$ 1,460,957,454

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
03/11/2025	Cover Page	Report
02/26/2024	Cover Page	Report
02/21/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

James B. Buchanan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ZIONS DIRECT, INC.

ZIONS CAPITAL ADVISORS, INC.

ZIONS DIRECT, INC.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

FINANCIAL PLANNERS EQUITY CORPORATION

Primary Firm SEC Registration

ZIONS CAPITAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/16/1999

Series 63

Date: 11/23/1982

Series 7

Date: 11/20/1982

Series 24

Date: 3/26/1985

Current Firm

ZIONS CAPITAL ADVISORS, INC.

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ZIONS CAPITAL ADVISORS, INC.

TRUST BUT VERIFY

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