Phillip B. Buchanan
Professional summary
Phillip Benjamin Buchanan, who also goes by Phillip B Buchanan, Phillip Benjamin Buchanan Jr, is a registered financial professional currently at CENTAURUS FINANCIAL, INC. located in Sandy Springs, Georgia.
Phillip is registered as a RR (Registered Representative) and started their career in finance in 2005. Phillip has worked at 6 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Phillip Benjamin Buchanan's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 25, 2023 - Present
CENTAURUS FINANCIAL, INC.
Office #1: 7840 Roswell Road Suite #415, Sandy Springs, GA 30350April 11, 2019 - March 15, 2022
WOODBURY FINANCIAL SERVICES, INC.
April 11, 2019 - March 15, 2022
OSAIC SERVICES, INC.
April 11, 2019 - March 15, 2022
OSAIC WEALTH, INC.
April 11, 2019 - March 15, 2022
FSC SECURITIES CORPORATION
June 26, 2017 - February 8, 2019
E*TRADE SECURITIES LLC
May 11, 2009 - January 17, 2017
E*TRADE SECURITIES LLC
February 14, 2005 - April 23, 2008
E*TRADE SECURITIES LLC
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/25/2023)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEDERATION OF FINANCIAL SERVICES | OWNER | |
| KREMER, STEPHEN MARK | OWNER | 1188829 |
| RUBINO, MICHAEL PETER | OWNER | 1188940 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | CHIEF COMPLIANCE OFFICER | 2123754 |
| KING, JAMES RONALD SR | DIRECTOR/CHAIRMAN OF THE BOARD/CEO | 269927 |
| KING, PAUL J | DIRECTOR/GENERAL COUNSEL | 5017845 |
| KING, WESTLEY HAYES | DIRECTOR/PRESIDENT | 2527676 |
| LEJMAN, SHERI J | CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER |
Regulatory assets under management
| Total Number of Accounts | 38,049 |
| AUM (Assets Under Management) | $ 7,336,108,151 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 8 |
Red Flags
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