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RB

Ryan H. Buchanan

Some features on this profile are disabled
CRD#: 5759276
RB

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.

Ryan Hambrick Buchanan, CFP®, who also goes by Ryan Buchanan, was a registered financial professional .

Ryan is a previously registered financial professional and started their career in finance in 2010. Ryan had worked at 6 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ryan 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.
1. R.H. Buchanan Holdings, LLC; No; 29 Main Street Suite 202 Ketchikan AK 99901; domestic business interest of Ryan Buchanan; Common ownership, managing member; 2022; 16- hours; governance 2. R.H. Buchanan Real Estate, LLC; No; 29 Main Street Suite 202 Ketchikan AK 99901; holds personal rental property; common ownership, managing member; 2020; less than 10 hours, 0 during trading hours; property management, collect rent on rental property 3. R.H. Buchanan Trust, LLC; No; 29 Main Street Suite 202 Ketchikan AK 99901; currently not in use but will provide fiduciary services to RH Buchanan; 2021; common ownership; 0; 0; none at this time. 4. RH Buchanan Trust Company Inc. and RH Buchanan Asset Management LLC, 29 Main Street Suite 202 Ketchikan AK 9990; Trust Company; President and CEO; 2020; Investment Related; provides investment management, administrative services and consulting for individuals and retirement plans. 60 hours per month with 50 during trading hours.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2012

Experience

Past

May 11, 2023 - December 31, 2024

CAPE SECURITIES INC.

BD
CRD#: 7072
MCDONOUGH, GA
Past

January 3, 2020 - December 31, 2024

RH BUCHANAN

RIA
CRD#: 166806
ANCHORAGE, AK
Past

January 16, 2019 - May 25, 2021

CAPE SECURITIES INC.

BD
CRD#: 7072
MCDONOUGH, GA
Past

December 10, 2014 - February 1, 2016

DEMPSEY LORD SMITH, LLC

BD
CRD#: 141238
Atlanta, GA
Past

March 21, 2013 - December 31, 2019

RH BUCHANAN

RIA
CRD#: 166806
BUCKHEAD-ATLANTA, GA
Past

January 31, 2013 - March 20, 2013

DMK ADVISOR GROUP, INC.

BD
CRD#: 41067
LUTZ, FL
Past

May 10, 2011 - January 29, 2013

CAPE INVESTMENT ADVISORY, INC.

RIA
CRD#: 146384
MCDONOUGH, GA
Past

May 4, 2011 - January 29, 2013

CAPE SECURITIES INC.

BD
CRD#: 7072
MCDONOUGH, GA
Past

June 11, 2010 - May 5, 2011

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
ATLANTA, GA
Past

May 14, 2010 - May 5, 2011

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
ATLANTA, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/9/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/1/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/13/2010
General Securities Representative Examination

Current Firm

CS
CAPE SECURITIES INC.
CAPE SECURITIES INC.

CRD#: 7072 / SEC#: , 8-20747

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
1600 Pennsylvania Avenue, Mcdonough, GA 30253
Mailing Address
1600 Pennsylvania Avenue, Mcdonough, GA 30253
Phone number
(678) 583-1120
Established
North Carolina since 02/23/1976
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WEBB, JAMES RANDALLCHAIRMAN2089446
BACHMANN, KEVIN SCOTTPRESIDENT1406637
CIANTRO, PHILIPCCO2350685
CIANTRO, PHILIPFINOP2350685
JOKELA, JOHN KEVINCOO5474831

Disclosures

Regulatory Event2
Arbitration1

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.

Company Information

CAPE SECURITIES INC.

CRD#: 7072

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