AB
Andrew N. Buchanan
WCM INVESTMENT MANAGEMENT
Laguna Beach, CA 92651-2974
Some features on this profile are disabled
CRD#: 4372432
AB
Professional summary
Andrew Neil Buchanan is a registered financial advisor currently at WCM INVESTMENT MANAGEMENT located in Laguna Beach, California and IMST DISTRIBUTORS, LLC located in Laguna Beach, California.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Andrew has worked at 7 firms and has passed the Series 66, SIE, Series 3, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) WCM Investment Management; Laguna Beach, CA; Investment Related; Began 09/2021; Marketing Investments; Managing Director; Market WCM investment vehicles to include LP, SMA and Mutual Funds; 240 hours per month with 0 hours during trading hours 2) In addition to being an investment advisor representative of WCM Investment Management, this associate is a registered representative of IMST Distributors, an unaffiliated broker dealer, for the purposes of selling WCM Investment Management funds.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Neil 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
February 15, 2024 - Present
WCM INVESTMENT MANAGEMENT
Office #1: 281 Brooks Street, Laguna Beach, CA 92651-2974RIA
CRD#: 104702
Laguna Beach, CA
Current
October 27, 2021 - Present
IMST DISTRIBUTORS, LLC
Office #1: 281 Brooks Street, Laguna Beach, CA 92651BD
CRD#: 130745
Laguna Beach, CA
Past
May 2, 2019 - September 13, 2021
NATIXIS DISTRIBUTION, LLC
BD
CRD#: 34754
BOSTON, MA
Past
June 7, 2013 - May 2, 2019
JANUS HENDERSON DISTRIBUTORS US LLC
BD
CRD#: 28832
DENVER, CO
Past
June 1, 2009 - January 11, 2013
MORGAN STANLEY
RIA
CRD#: 149777
WASHINGTON, DC
Past
June 1, 2009 - January 11, 2013
MORGAN STANLEY
BD
CRD#: 149777
WASHINGTON, DC
Past
June 27, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
HARTFORD, CT
Past
June 27, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
HARTFORD, CT
Past
June 18, 2001 - June 30, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HARTFORD, CT
Past
May 15, 2001 - June 30, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
HARTFORD, CT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WI
WCM INVESTMENT MANAGEMENT
WCM INVESTMENT MANAGEMENT | WCM INVESTMENT MANAGEMENT, LLC
CRD#: 104702 / SEC#: 801-11916
RIA
Registered Investment Advisory firm - (8/12/1976 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(10/27/2021)
RR
Alaska(10/27/2021)
RR
Arizona(10/27/2021)
RR
Arkansas(10/27/2021)
RR
California(10/27/2021)
IAR
California(2/15/2024)
RR
Colorado(10/27/2021)
RR
Connecticut(10/27/2021)
RR
Delaware(10/27/2021)
RR
District of Columbia(10/27/2021)
RR
Florida(10/27/2021)
RR
Georgia(10/27/2021)
RR
Hawaii(10/27/2021)
RR
Idaho(10/27/2021)
RR
Illinois(10/27/2021)
RR
Indiana(10/27/2021)
RR
Iowa(10/27/2021)
RR
Kansas(10/27/2021)
RR
Kentucky(10/27/2021)
RR
Louisiana(10/27/2021)
RR
Maine(10/27/2021)
RR
Maryland(10/27/2021)
RR
Massachusetts(10/27/2021)
RR
Michigan(10/27/2021)
RR
Minnesota(10/27/2021)
RR
Mississippi(10/27/2021)
RR
Missouri(10/27/2021)
RR
Montana(10/27/2021)
RR
Nebraska(10/27/2021)
RR
Nevada(10/27/2021)
RR
New Hampshire(10/27/2021)
RR
New Jersey(10/27/2021)
RR
New Mexico(10/27/2021)
RR
New York(10/27/2021)
RR
North Carolina(10/27/2021)
RR
North Dakota(10/27/2021)
RR
Ohio(10/27/2021)
RR
Oklahoma(10/27/2021)
RR
Oregon(10/27/2021)
RR
Pennsylvania(10/27/2021)
RR
Puerto Rico(10/27/2021)
RR
Rhode Island(10/27/2021)
RR
South Carolina(10/27/2021)
RR
South Dakota(10/27/2021)
RR
Tennessee(10/27/2021)
RR
Texas(10/27/2021)
RR
Utah(10/27/2021)
RR
Vermont(10/27/2021)
RR
Virgin Islands(10/27/2021)
RR
Virginia(10/27/2021)
RR
Washington(10/27/2021)
RR
West Virginia(10/27/2021)
RR
Wisconsin(10/27/2021)
RR
Wyoming(10/27/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WI
WCM INVESTMENT MANAGEMENT
WCM INVESTMENT MANAGEMENT | WCM INVESTMENT MANAGEMENT, LLC
CRD#: 104702 / SEC#: 801-11916
RIA
Registered Investment Advisory firm - (8/12/1976 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
281 Brooks Street, Laguna Beach, CA 92651-2974
Mailing Address
Phone number
(949) 380-0200
Established
Firm type
Fiscal year end
# of Employees
102
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,438 |
| AUM (Assets Under Management) | $ 74,688,235,740 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/16/2025 | ||
| 01/16/2025 | ||
| 06/20/2023 | ||
| 10/25/2022 |
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.
