Deborah S. Buchman
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.
Deborah Susan Buchman, who also goes by Deborah Susan Buchman Ms., was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 1997. Deborah had worked at 11 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2016 - June 8, 2016
TIGRESS FINANCIAL PARTNERS, LLC
April 29, 2015 - December 1, 2015
CLARKSONS SECURITIES, INC
February 4, 2014 - October 1, 2015
D/B/A CLARKSONS PLATOU SECURITIES
September 23, 2013 - February 12, 2014
COWEN EXECUTION SERVICES LLC
October 28, 2011 - July 17, 2012
RODMAN & RENSHAW, LLC
July 19, 2011 - October 24, 2011
COWEN EXECUTION SERVICES LLC
May 5, 2009 - August 20, 2010
LIGHTHOUSE FINANCIAL GROUP, LLC
January 29, 2009 - May 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
August 18, 2006 - March 28, 2008
CITIGROUP GLOBAL MARKETS INC.
March 21, 2005 - August 18, 2006
TD WATERHOUSE CAPITAL MARKETS, INC.
January 3, 2005 - March 21, 2005
VIRTU ITG LLC
November 6, 2002 - June 23, 2004
TD WATERHOUSE CAPITAL MARKETS, INC.
May 15, 1997 - September 19, 2002
COMMERZ MARKETS LLC
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 55
Date: 3/8/2000
Limited Representative-Equity Trader ExamCurrent Firm
TIGRESS FINANCIAL PARTNERS, LLC
CRD#: 154717 / SEC#: 801-112815, 8-68671
Contact information
FINRA licenses (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17 |
| AUM (Assets Under Management) | $ 11,558,041 |
Disclosures
| Regulatory Event | 2 |
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.
