Charles Buchanan

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CRD#: 1569513

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.

Charles Buchanan was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1986. Charles had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

September 28, 2018 - December 21, 2018

POST OAK PRIVATE WEALTH ADVISORS

RIA

CRD#: 159293

HOUSTON, TX

Past

January 1, 2008 - October 2, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

HOUSTON, TX

Past

January 1, 2008 - October 2, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

HOUSTON, TX

Past

August 22, 2002 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

HOUSTON, TX

Past

October 5, 1994 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

HOUSTON, TX

Past

April 28, 1988 - October 17, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 26, 1986 - April 26, 1988

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

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".

POST OAK PRIVATE WEALTH ADVISORS

CRD#: 159293 / SEC#: 801-117111

RIA

Registered Investment Advisory firm - (7/6/2019 Approved)

Texas

Registered Investment Advisory firm - (8/20/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Series 63

Date: 9/25/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/20/1986

General Securities Representative Examination

Current Firm

POST OAK PRIVATE WEALTH ADVISORS

CRD#: 159293 / SEC#: 801-117111

RIA

Registered Investment Advisory firm - (7/6/2019 Approved)

Texas

Registered Investment Advisory firm - (8/20/2019 Terminated)

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Contact information

Main Address

1200 Smith Street Suite 610, Houston, TX 77002

Mailing Address

Phone number

(281) 580-2100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts	679
AUM (Assets Under Management)	$ 282,025,465

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

Charles Buchanan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

POST OAK PRIVATE WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 9/25/1986

SIE

Date: 10/1/2018

Series 7

Date: 9/20/1986

Current Firm

POST OAK PRIVATE WEALTH ADVISORS

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

POST OAK PRIVATE WEALTH ADVISORS

TRUST BUT VERIFY

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