Michael Buchanan
Professional Summary
Michael Buchanan, who also goes by Michael Scott Buchanan, is a registered financial advisor currently at NATIONAL BANK OF CANADA FINANCIAL INC. located in New York, New York. Michael is registered as a RR (Registered Representative) and started their career in finance in 1995. Michael has worked at 9 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, Series 57TO, Series 82TO, Series 19, SIE, Series 79, Series 55, Series 7,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Michael Scott Buchanan
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
31 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
NATIONAL BANC FINANCIAL INC. | PUTNAM, LOVELL, DE GUARDIOLA & THORNTON INC. | PUTNAM, LOVELL & THORNTON INC. | PUTNAM LOVELL SECURITIES INC. | PUTNAM LOVELL NBF SECURITIES INC. | PUTNAM LOVELL NBF | NATIONAL BANK OF CANADA FINANCIAL INC.
Contact Information
Main Address
65 East 55th Street 8th Floor, New York, NY 10022Mailing Address
65 East 55th Street 8th Floor, New York, NY 10022Phone Number
(212) 546-7500Established
Delaware since 06/01/1987Firm Type
CorporationFiscal Year End
OctoberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL BANK OF CANADA FINANCIAL GROUP INC. | SHAREHOLDER | — |
| BONDY, TODD RICHARD | MANAGING DIRECTOR, CO-HEAD OF US FIXED INCOME SALES & TRADING | 2526622 |
| CROSSKILL MACDONALD, BENJAMIN STONE | MANAGING DIRECTOR AND HEAD OF EQUITY DELTA ONE & GSF | 5923992 |
| DONNELLY, MICHAEL PATRICK | MANAGING DIRECTOR, CO-HEAD OF US FIXED INCOME SALES & TRADING | 2530195 |
| DUBUC, ETIENNE | CHAIRMAN OF BOARD, EQUITIES SALES SUPERVISOR | 6628432 |
| GRABOVSKY, YURI | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, AND FINOP | 4149242 |
| HEALEY, SEAN CHRISTOPHER | PRESIDENT, CEO, CTO, MANAGING DIRECTOR, GLOBAL SECURITIES FINANCE, REGISTERED OPTIONS SECURITIES FUTURES PRINCIPAL | 3218329 |
| HOOD, ANDREW PETER | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 3008883 |
| KATCHOUNI, ALAIN | MANAGING DIRECTOR AND HEAD OF EQUITIES | 4863032 |
| KELLER, SETH MICHAEL | MANAGING DIRECTOR, GLOBAL HEAD OF POWER, UTILITIES, AND INFRASTRUCTURE | 5785498 |
| LOCAS, YVES JOSEPH | MANAGING DIRECTOR, HEAD OF U.S. DEBT SYNDICATION | 6038023 |
| MCENTYRE, PATRICK MICHAEL | MANAGING DIRECTOR, INSTITUTIONAL EQUITY ELECTRONIC TRADING AND SERVICES | 4420353 |
| MCGOWAN, KATIE MARIE | CHIEF COMPLIANCE OFFICER | 5111849 |
| MILLER, ROBERT DENNIS | MANAGING DIRECTOR, HEAD OF U.S. DEBT CAPITAL MARKETS | 2991181 |
| PETITTO, LOUIS ROBERT | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 6449700 |
| SCHOLL, STEVEN CHRISTOPHER | MANAGING DIRECTOR, EQUITY FINANCE | 2156531 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 82TO — Limited Representative-Private Securities Offerings
Passed Jan 2023About the Series 82TO examSeries 19 — NYSE Floor Clerk - Equities Examination
Passed Jul 2021Series 79 — Investment Banking Registered Representative Examination
Passed Jan 2015About the Series 79 examSeries 55 — Limited Representative-Equity Trader Exam
Passed Mar 1999Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael Buchanan's CRS (Customer Relationship Summary).
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