JB
James G. Buchanan
PNC WEALTH MANAGEMENT LLC
Carlsbad, CA 92009
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CRD#: 4721387
JB
Professional summary
James Gregory Buchanan, who also goes by James G Buchanan, James Gregory Buchanan, James Buchanan, is a registered financial advisor currently at PNC WEALTH MANAGEMENT LLC located in Carlsbad, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. James has worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 38 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James G Buchanan | James Gregory Buchanan | James Buchanan
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view James Gregory Buchanan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Gregory 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
July 26, 2024 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 3231 Camino De Los Coches Suite 110, Carlsbad, CA 92009Office #2: 815 Mission Avenue, Oceanside, CA 92054Office #3: 961 South Santa Fe, Vista, CA 92083Office #4: 10678 Westview Parkway, San Diego, CA 92126Office #5: 12405 B Rancho Bernardo Road, San Diego, CA 92128RIA
BD
CRD#: 129052
Carlsbad, CA
Current
July 25, 2024 - Present
PNC WEALTH MANAGEMENT LLC
Office #1: 3231 Camino De Los Coches Suite 110, Carlsbad, CA 92009Office #2: 815 Mission Avenue, Oceanside, CA 92054Office #3: 961 South Santa Fe, Vista, CA 92083Office #4: 10678 Westview Parkway, San Diego, CA 92126Office #5: 12405 B Rancho Bernardo Road, San Diego, CA 92128RIA
BD
CRD#: 129052
Carlsbad, CA
Past
October 10, 2023 - July 23, 2024
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
FALLBROOK, CA
Past
October 10, 2023 - July 23, 2024
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
FALLBROOK, CA
Past
July 19, 2023 - October 11, 2023
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
San Diego, CA
Past
May 23, 2023 - October 11, 2023
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
March 29, 2019 - July 23, 2019
BMO NESBITT BURNS SECURITIES LTD.
RIA
CRD#: 281337
CALGARY, AB T2P 5C5,
Past
March 29, 2019 - July 23, 2019
BMO NESBITT BURNS SECURITIES LTD.
BD
CRD#: 44057
CALGARY, ALBERTA,
Past
October 8, 2018 - November 27, 2018
EDWARD JONES
RIA
CRD#: 250
Calgary,
Past
October 8, 2018 - November 27, 2018
EDWARD JONES
BD
CRD#: 250
VISTA, CA
Past
January 1, 2016 - July 5, 2017
MORGAN STANLEY
RIA
CRD#: 149777
PALO ALTO, CA
Past
November 30, 2015 - July 5, 2017
MORGAN STANLEY
BD
CRD#: 149777
PALO ALTO, CA
Past
September 29, 2011 - October 6, 2015
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
BD
CRD#: 7449
CALGARY,
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".
PW
PNC WEALTH MANAGEMENT LLC
PNC INVESTMENTS | PNC WEALTH MANAGEMENT LLC | PNC WEALTH MANAGEMENT | PNC INVESTMENTS LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
RIA
Registered Investment Advisory firm - SEC (9/17/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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
California(7/25/2024)
IAR
California(7/26/2024)
RR
Texas(3/28/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/23/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 38
Date: 9/28/2011
Canada Module of the General Securities Registered Representative (Without Options Questions)SRO Registrations
RR
FINRA
Current Firm
PW
PNC WEALTH MANAGEMENT LLC
PNC INVESTMENTS | PNC WEALTH MANAGEMENT LLC | PNC WEALTH MANAGEMENT | PNC INVESTMENTS LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
RIA
Registered Investment Advisory firm - SEC (9/17/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
300 Fifth Avenue 26th Floor, Pittsburgh, PA 15222-2722
Mailing Address
1900 E. 9th Street 17th Floor, Cleveland, OH 44114
Phone number
(800) 762-6111
Established
Delaware since 09/17/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,585
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK, NATIONAL ASSOCIATION | PARENT | |
| BARNHART, TODD MARTIN | BOARD OF MANAGERS | 6166298 |
| FLYNN, SEAN | CHIEF COMPLIANCE OFFICER & BOARD OF MANAGERS | 2790159 |
| GUERRINI, RICHARD ROBERT | PRESIDENT, CEO, BOARD OF MANAGERS | 1990015 |
| HOLODINSKI, JOHN PAUL | BOARD OF MANAGERS | 2494707 |
| MITCHELL, JESSICA | BOARD OF MANAGERS | 6624246 |
| RAMOS, REGIS RESENDE | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | 5205169 |
| RICHARDSON, MARGARET MARY | CHIEF OPERATING OFFICER/BOARD OF MANAGERS | 6002933 |
| RODGERS, STEPHANIE ELIZABETH | BOARD OF MANAGERS & SECRETARY | 6004741 |
| SANTILLO, ROBERT WILSON | BOARD OF MANAGERS | 5379581 |
| SCHAFER, DAVID JOSEPH | CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 1368781 |
| THOMPSON, LEIGH CHASE | CHIEF LEGAL OFFICER | 6534162 |
| WEIDNER, KIMBERLY LYNN | CHIEF RISK OFFICER & BOARD OF MANAGERS | 4080314 |
Regulatory assets under management
| Total Number of Accounts | 157,533 |
| AUM (Assets Under Management) | $ 26,533,775,810 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 6 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 09/20/2023 |
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.
