Vincent A. 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.
Vincent Anthony Buchanan was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1970. Vincent had worked at 79 firms and has passed the Series 63, Series 65, Series 1, Series 27, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2006 - March 10, 2010
VALORES FINAMEX INTERNATIONAL, INC.
January 18, 2006 - November 29, 2006
PRAETORIAN SECURITIES, LLC
October 17, 2005 - October 30, 2006
ARAPAHO PARTNERS, LLC
June 6, 2005 - June 30, 2005
PRAETORIAN SECURITIES, LLC
March 17, 2005 - June 30, 2005
TRIBECA SECURITIES LLC
March 9, 2005 - June 29, 2005
METCAP SECURITIES, LLC
March 9, 2005 - June 29, 2005
HUDSON HOUSING SECURITIES LLC
March 9, 2005 - June 29, 2005
KBR CAPITAL MARKETS, LLC
March 9, 2005 - June 29, 2005
ICE BONDS SECURITIES CORPORATION
March 9, 2005 - June 29, 2005
CREDITEX GROUP, INC.
March 9, 2005 - June 29, 2005
BENFIELD ADVISORY INC.
March 9, 2005 - June 30, 2005
GALLAGHER SECURITIES, INC
March 9, 2005 - June 30, 2005
PROVIDENCE CAPITAL, INC.
March 8, 2005 - June 30, 2005
SEIDMAN PRIVATE SECURITIES LLC
April 5, 2004 - July 5, 2005
BIONDO ASSET MANAGEMENT LLC
March 16, 2004 - August 30, 2004
VENTURE EXCHANGE NETWORK, INC.
June 5, 2003 - September 7, 2004
SAPENO INC.
March 28, 2003 - June 30, 2005
VALORES FINAMEX INTERNATIONAL, INC.
March 28, 2003 - June 30, 2005
NORTH ATLANTIC SECURITIES, L.L.C.
October 16, 2002 - February 13, 2004
RIGGS SECURITIES INC.
September 10, 2002 - June 9, 2003
BETTERMENT SECURITIES
August 8, 2002 - August 2, 2004
MONEX SECURITIES, INC.
July 8, 2002 - February 14, 2003
INVESTORS DISCOUNT CORP
July 2, 2002 - June 30, 2005
CHARDAN CAPITAL MARKETS LLC
May 17, 2002 - June 30, 2005
DIVINE CAPITAL MARKETS LLC
May 2, 2002 - July 31, 2002
RIGGS SECURITIES INC.
April 1, 2002 - November 1, 2004
WEALTH PRESERVATION ASSOCIATES, LLC
March 14, 2002 - April 22, 2002
GARAL & COMPANY, INC.
January 14, 2002 - March 6, 2003
ADOLPH KOMORSKY INVESTMENTS
October 4, 2001 - May 17, 2002
BNJ CAPITAL SECURITIES CORP.
September 10, 2001 - August 11, 2003
HCFP BRENNER SECURITIES, LLC
May 29, 2001 - February 21, 2003
GEM ADVISORS, INC.
November 3, 2000 - June 15, 2001
FATOR SECURITIES, LLC
November 3, 2000 - April 8, 2003
NORTH WOODWARD FINANCIAL CORP.
October 6, 2000 - April 30, 2004
NEONET SECURITIES, INC.
June 8, 2000 - June 30, 2005
DPEC CAPITAL, INC.
May 2, 2000 - June 30, 2005
AKROS SECURITIES, INC
March 15, 2000 - February 16, 2001
MAGNUM SECURITIES OF NEW YORK INC.
March 1, 2000 - May 29, 2000
BERNARD, RICHARDS SECURITIES, INC.
February 24, 2000 - November 9, 2000
WESTON CAPITAL MARKETS INC.
December 16, 1999 - June 30, 2005
MATRIX U.S.A., LLC
September 4, 1999 - November 24, 1999
COLLINS STEWART INC.
June 5, 1999 - March 11, 2003
GEORGESON SECURITIES CORPORATION
January 20, 1999 - March 18, 2005
CMI CAPITAL MARKET INVESTMENT, LLC
December 21, 1998 - February 8, 2002
ODDO BHF NEW YORK CORPORATION
October 28, 1998 - July 26, 2000
M.S. FARRELL & COMPANY, INC.
August 20, 1998 - November 11, 2002
ARAPAHO PARTNERS, LLC
August 7, 1998 - December 23, 1999
ARGENTARIA INTERNATIONAL SECURITIES INC.
July 30, 1998 - December 2, 1998
EGS SECURITIES CORP.
July 21, 1998 - June 30, 2005
SIGNATURE CAPITAL SECURITIES LLC
June 10, 1998 - November 18, 1998
HARMONIC RESEARCH, INC.
June 5, 1998 - March 11, 2003
WESTMINSTER RESEARCH ASSOCIATES LLC
May 19, 1998 - June 30, 2005
EIM SECURITIES (USA) INC.
August 26, 1997 - August 21, 1998
WHITEHALL SECURITIES, INC.
August 18, 1997 - March 10, 1998
MORGAN GRANT CAPITAL CORP.
May 29, 1997 - November 1, 1998
MONTROSE CAPITAL MANAGEMENT LTD.
April 8, 1997 - July 9, 1997
MORGAN GRANT CAPITAL CORP.
March 21, 1997 - January 22, 1999
CLEMENTE FUND MANAGEMENT INC
February 19, 1997 - June 30, 2005
BSI BROKERAGE, INC.
November 22, 1996 - June 30, 2005
BAYOU SECURITIES, LLC
September 18, 1996 - November 19, 1996
RENCAP SECURITIES, INC.
June 26, 1996 - November 22, 1996
APB FINANCIAL GROUP, LLC
June 5, 1996 - March 15, 2001
BROOK ASSET MANAGEMENT, L.L.C.
March 27, 1996 - January 29, 1997
GLENN MICHAEL FINANCIAL, INC.
January 30, 1996 - April 5, 2001
ADOLPH KOMORSKY INVESTMENTS
June 12, 1995 - December 15, 1995
RAM SECURITIES, INC.
February 10, 1995 - April 30, 1996
MULTINVESTMENTS, INC.
November 12, 1993 - July 11, 1994
INTERACCIONES GLOBAL INC.
July 21, 1993 - October 19, 1993
MULTINVESTMENTS, INC.
November 18, 1992 - May 18, 1995
CLEMENTE FUND MANAGEMENT INC
February 10, 1992 - October 1, 1992
CENTURION CAPITAL GROUP, L.P.
June 14, 1991 - December 31, 1992
AEB CORPORATION
May 16, 1991 - January 21, 1997
EGS SECURITIES CORP.
February 27, 1991 - April 4, 1995
SANDS BROTHERS & CO., LTD.
January 1, 1991 - February 21, 1991
SEAPORT SECURITIES CORP.
February 4, 1988 - May 1, 1989
UNICREDIT CAPITAL MARKETS LLC
April 15, 1986 - October 12, 1987
PRESCOTT, BALL & TURBEN, INC.
October 9, 1985 - April 22, 1986
KUHNS BROTHERS & LAIDLAW, INC.
July 24, 1985 - September 9, 1985
MCKINLEY ALLSOPP, INC.
July 14, 1980 - July 24, 1985
DAVID ALLSOPP & ASSOCIATES, INC.
August 14, 1978 - May 3, 1980
PRESCOTT, BALL & TURBEN, INC.
February 4, 1977 - August 14, 1978
PRESCOTT, BALL & TURBEN
April 5, 1976 - February 4, 1977
PRESCOTT, BALL & TURBEN
September 3, 1974 - April 5, 1976
PRESCOTT, BALL & TURBEN
September 21, 1973 - September 9, 1974
JANNEY MONTGOMERY SCOTT LLC
July 23, 1973 - December 2, 1973
DOMIK CORP.
November 3, 1971 - October 26, 1973
LOMBARD, NELSON & MCKENNA, INC
February 25, 1971 - November 3, 1973
NEW YORK SECURITIES CO INC
May 4, 1970 - April 29, 1971
SUEZ AMERICAN 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
Series 1
Date: 9/15/1967
Registered Representative ExaminationSeries 40
Date: 3/11/1971
Registered Principal ExaminationCurrent Firm
VALORES FINAMEX INTERNATIONAL, INC.
CRD#: 26303 / SEC#: , 8-42490
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VALORES FINAMEX CORP | SHAREHOLDER OF APPLICANT | |
| CARILLODIAZ, EDUARDO ARTURO | DIRECTOR | 2048879 |
| GOLAC, IVAN ALBERTO | PRESIDENT | 2800489 |
| HEBERT, MIKE JAMES | CHIEF COMPLIANCE OFFICER | 1229298 |
| JOHNSON, KRISTY KAY | FINANCIAL AND OPERATIONS PRINCIPAL/ CHEIF FINANCIAL OFFICER | 4470948 |
| LOPEZVELASCO, MAURICIO | DIRECTOR | 2048913 |
| MADERO VIZCAYA, RICARDO JOSE | SECRETARY | 5805041 |
Disclosures
| Regulatory Event | 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.
