June M. Buzan
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.
June Marie Buzan, who also goes by June M Buzan, June Marie Doyle, June Marie Ramirez, was a registered financial professional .
June is a previously registered financial professional and started their career in finance in 1986. June had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2023 - February 5, 2024
FIDELITY BROKERAGE SERVICES LLC
September 10, 2020 - December 1, 2022
WELLS FARGO CLEARING SERVICES, LLC
August 14, 2020 - December 1, 2022
WELLS FARGO CLEARING SERVICES, LLC
July 21, 2020 - July 24, 2020
MORGAN STANLEY
July 20, 2020 - July 24, 2020
MORGAN STANLEY
June 1, 2009 - January 10, 2019
MORGAN STANLEY
June 1, 2009 - January 10, 2019
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
December 2, 2003 - April 2, 2007
MORGAN STANLEY DW INC.
October 15, 1998 - April 2, 2007
MORGAN STANLEY DW INC.
July 1, 1998 - September 28, 1998
COWEN AND COMPANY
April 20, 1998 - July 1, 1998
FINANCIAL SQUARE PARTNERS
March 4, 1993 - April 1, 1998
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 6, 1990 - August 24, 1992
HAMILTON INVESTMENTS, INC.
February 3, 1988 - May 2, 1990
SANCTUARY SECURITIES, INC.
January 14, 1986 - December 22, 1987
HAMILTON INVESTMENTS, INC.
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
Series 8
Date: 4/6/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
