Rodney L. 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.
Rodney Lee Buchman, who also goes by Rod Buchman, was a registered financial professional .
Rodney is a previously registered financial professional and started their career in finance in 1996. Rodney had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2012 - May 14, 2014
BMO HARRIS FINANCIAL ADVISORS, INC.
October 18, 2012 - May 14, 2014
BMO HARRIS FINANCIAL ADVISORS, INC.
September 13, 2002 - October 2, 2012
FARMERS FINANCIAL SOLUTIONS, LLC
March 20, 2002 - April 4, 2002
PGIM INVESTMENTS LLC
March 20, 2002 - August 28, 2002
PRUCO SECURITIES, LLC.
January 30, 1996 - August 28, 2002
PRUCO SECURITIES, 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
BMO HARRIS FINANCIAL ADVISORS, INC.
CRD#: 137115 / SEC#: 801-64847, 8-67064
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 7 |
Red Flags
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