MB
Michael Buchanan
NATIONAL BANK OF CANADA FINANCIAL
New York, NY 10022
Some features on this profile are disabled
CRD#: 2575526
MB
Professional summary
Michael Buchanan, who also goes by Michael Scott Buchanan, is a registered financial professional 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, Series 14, Series 10, Series 9, Series 53, Series 27, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael Scott Buchanan
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael Buchanan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 29, 2024 - Present
NATIONAL BANK OF CANADA FINANCIAL INC.
Office #1: 65 East 55th Street 8th Floor, New York, NY 10022BD
CRD#: 22698
New York, NY
Past
June 3, 2021 - May 17, 2024
LUCID CAPITAL MARKETS, LLC
BD
CRD#: 140345
New York, NY
Past
September 21, 2018 - June 3, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ISELIN, NJ
Past
September 11, 2018 - June 3, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ISELIN, NJ
Past
October 28, 2016 - February 26, 2018
AMTD FINANCIAL MARKETS (USA) LLC
BD
CRD#: 165313
NEW YORK CITY, NY
Past
August 19, 2014 - March 24, 2016
AMTD FINANCIAL MARKETS (USA) LLC
BD
CRD#: 165313
NEW YORK CITY, NY
Past
January 31, 2011 - August 8, 2014
VANDHAM SECURITIES CORP.
BD
CRD#: 26258
WOODCLIFF LAKE, NJ
Past
October 28, 2010 - January 24, 2011
DUNMORE TRADING LLC
BD
CRD#: 152594
RAMSEY, NJ
Past
January 5, 2005 - October 15, 2010
VANDHAM SECURITIES CORP.
BD
CRD#: 26258
WOODCLIFF LAKE, NJ
Past
February 12, 2004 - April 14, 2004
HLA SECURITIES INC
BD
CRD#: 32713
NEW YORK, NY
Past
February 12, 2004 - April 20, 2004
EQUITEX SECURITIES, LLC
BD
CRD#: 47846
NEW YORK, NY
Past
December 9, 2002 - June 10, 2003
UBS CAPITAL MARKETS L.P.
BD
CRD#: 2692
STAMFORD, CT
Past
March 22, 2002 - November 27, 2002
VANDHAM SECURITIES CORP.
BD
CRD#: 26258
PARK RIDGE, NJ
Past
August 2, 1995 - April 2, 2002
UBS CAPITAL MARKETS L.P.
BD
CRD#: 2692
STAMFORD, CT
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/29/2024)
RR
Alaska(5/29/2024)
RR
Arizona(5/29/2024)
RR
Arkansas(5/29/2024)
RR
California(5/29/2024)
RR
Colorado(5/29/2024)
RR
Connecticut(5/29/2024)
RR
Delaware(5/29/2024)
RR
District of Columbia(5/29/2024)
RR
Florida(5/29/2024)
RR
Georgia(5/29/2024)
RR
Hawaii(5/29/2024)
RR
Idaho(5/29/2024)
RR
Illinois(5/29/2024)
RR
Indiana(5/29/2024)
RR
Iowa(5/29/2024)
RR
Kansas(5/29/2024)
RR
Kentucky(5/29/2024)
RR
Louisiana(5/29/2024)
RR
Maine(5/29/2024)
RR
Maryland(5/29/2024)
RR
Massachusetts(5/29/2024)
RR
Michigan(5/29/2024)
RR
Minnesota(5/29/2024)
RR
Mississippi(5/29/2024)
RR
Missouri(5/29/2024)
RR
Montana(5/29/2024)
RR
Nebraska(5/29/2024)
RR
Nevada(5/29/2024)
RR
New Hampshire(5/29/2024)
RR
New Jersey(5/29/2024)
RR
New Mexico(5/29/2024)
RR
New York(5/29/2024)
RR
North Carolina(5/29/2024)
RR
North Dakota(5/29/2024)
RR
Ohio(5/29/2024)
RR
Oklahoma(5/29/2024)
RR
Oregon(5/29/2024)
RR
Pennsylvania(5/29/2024)
RR
Puerto Rico(5/29/2024)
RR
Rhode Island(5/29/2024)
RR
South Carolina(5/29/2024)
RR
South Dakota(5/29/2024)
RR
Tennessee(5/29/2024)
RR
Texas(5/29/2024)
RR
Utah(5/29/2024)
RR
Vermont(5/29/2024)
RR
Virginia(5/29/2024)
RR
Washington(5/29/2024)
RR
West Virginia(5/29/2024)
RR
Wisconsin(5/29/2024)
RR
Wyoming(5/29/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 19
Date: 7/8/2021
NYSE Floor Clerk - Equities ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/4/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NB
NATIONAL BANK OF CANADA FINANCIAL INC.
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.
CRD#: 22698 / SEC#: , 8-39947
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
65 East 55th Street 8th Floor, New York, NY 10022
Mailing Address
65 East 55th Street 8th Floor, New York, NY 10022
Phone number
(212) 546-7500
Established
Delaware since 06/01/1987
Firm type
Corporation
Fiscal year end
October
Firm Size
Small
# of Employees
FINRA licenses (52 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 |
| 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 |
| 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 |
Disclosures
| Regulatory Event | 10 |
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.
