Wayne A. Buchan
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.
Wayne Arthur Buchan was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1998. Wayne had worked at 11 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2017 - May 27, 2020
CFWP SECURITIES, LLC
June 26, 2017 - September 17, 2020
CASTLEOAK SECURITIES, LP
June 26, 2017 - July 1, 2021
SUNRISE BROKERS LLC
June 26, 2017 - January 3, 2025
GFI SECURITIES LLC
June 26, 2017 - January 3, 2025
FMX EXECUTION, LLC
June 26, 2017 - January 3, 2025
CF SECURED, LLC
June 6, 2012 - September 19, 2022
AQUA SECURITIES L.P.
June 6, 2012 - January 3, 2025
MINT BROKERS
June 6, 2012 - January 3, 2025
BGC FINANCIAL, L.P.
June 10, 2008 - January 3, 2025
CANTOR FITZGERALD & CO.
August 28, 1998 - June 25, 2008
J.P. MORGAN 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CFWP SECURITIES, LLC
CRD#: 170228 / SEC#: , 8-69415
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANTOR FITZGERALD WEALTH PARTNERS HOLDINGS, LLC | PARENT COMPANY | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| KAPLAN, MARK ELLIOT | CHIEF EXECUTIVE OFFICER | 2618079 |
| PAULSON, KENNETH MICHAEL | CHIEF FINANCIAL OFFICER | 2862259 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
Red Flags
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