Brett 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.
Brett Buchanan, who also goes by Brett Cass Buchanan, was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 1997. Brett had worked at 8 firms and has passed the Series 66, Series 63, SIE, 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
February 8, 2017 - December 31, 2017
WORTH FINANCIAL GROUP INC.
October 21, 2015 - December 31, 2021
WORTH ASSET MANAGEMENT
October 17, 2012 - November 21, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 17, 2012 - November 21, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 3, 2011 - October 2, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - October 2, 2012
WELLS FARGO CLEARING SERVICES, LLC
December 3, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
December 3, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
May 29, 2009 - December 7, 2009
WELLS FARGO CLEARING SERVICES, LLC
February 22, 2008 - December 7, 2009
WELLS FARGO CLEARING SERVICES, LLC
May 16, 2003 - May 19, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 1, 1999 - April 30, 2003
CHASE INVESTMENT SERVICES CORP.
November 7, 1997 - February 5, 1999
BANC ONE SECURITIES CORPORATION
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
WORTH FINANCIAL GROUP INC.
CRD#: 13478 / SEC#: , 8-29827
Contact information
FINRA licenses (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 2,539,237 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
