James B. Buchanan
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 Blake Buchanan JR was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 15, Series 5, Series 3, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2016 - April 8, 2021
TRUIST ADVISORY SERVICES, INC.
July 31, 1998 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
July 31, 1998 - April 8, 2021
TRUIST INVESTMENT SERVICES, INC.
April 1, 1998 - July 31, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 21, 1995 - April 1, 1998
BARNETT INVESTMENTS, INC.
January 12, 1989 - February 17, 1995
DETWILER FENTON WEALTH MANAGEMENT INC
February 19, 1986 - January 9, 1989
THOMSON MCKINNON SECURITIES INC.
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
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 15
Date: 4/2/1986
Foreign Currency Options ExaminationSeries 5
Date: 4/2/1986
Interest Rate Options ExaminationCurrent Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
