Robert 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.
Robert Blair Buchanan, who also goes by Blair Buchanan, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1996. Robert had worked at 12 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2012 - January 10, 2013
CUSO FINANCIAL SERVICES, L.P.
November 12, 2012 - January 10, 2013
CUSO FINANCIAL SERVICES, L.P.
March 7, 2011 - September 6, 2012
LPL FINANCIAL LLC
March 7, 2011 - September 6, 2012
LPL FINANCIAL LLC
August 7, 2008 - June 10, 2010
WELLS FARGO INVESTMENTS, LLC
August 7, 2008 - June 10, 2010
WELLS FARGO INVESTMENTS, LLC
February 1, 2007 - August 1, 2008
WELLS FARGO CLEARING SERVICES, LLC
February 1, 2007 - August 1, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 27, 2005 - February 1, 2007
ATLAS SECURITIES, LLC
March 7, 2003 - January 21, 2005
CITICORP INVESTMENT SERVICES
February 5, 2003 - January 21, 2005
CITICORP INVESTMENT SERVICES
May 30, 2000 - February 5, 2003
CAL FED INVESTMENTS
May 22, 1999 - November 24, 1999
UBS FINANCIAL SERVICES INC.
October 20, 1997 - February 4, 1999
CAPITAL BROKERAGE CORPORATION
May 1, 1997 - August 11, 1997
IDS LIFE INSURANCE COMPANY
May 1, 1997 - August 11, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
November 26, 1996 - March 14, 1997
MML INVESTORS SERVICES, 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
Current Firm
CUSO FINANCIAL SERVICES, L.P.
CRD#: 42132 / SEC#: 801-60300, 8-49711
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,354 |
| AUM (Assets Under Management) | $ 5,378,345,125 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 |
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.
