Mark Gregory Buchanan
CFP®Professional Summary
Mark Gregory Buchanan, CFP® is a registered financial advisor currently at CANOPY WEALTH MANAGEMENT located in Middleton, Wisconsin. Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Mark has worked at 2 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
J. ALDEN ASSOCIATES, INC.
SPARTA WEALTH PARTNERS
LPL FINANCIAL LLC
CAPITAL ADVISORY SERVICES, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
J. ALDEN ASSOCIATES, INC.
SPARTA WEALTH PARTNERS
LPL FINANCIAL LLC
CAPITAL ADVISORY SERVICES, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
J. ALDEN ASSOCIATES, INC.
SPARTA WEALTH PARTNERS
LPL FINANCIAL LLC
CAPITAL ADVISORY SERVICES, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
J. ALDEN ASSOCIATES, INC.
SPARTA WEALTH PARTNERS
LPL FINANCIAL LLC
CAPITAL ADVISORY SERVICES, LLC
Credentials
Years of Experience
10 years in the financial services industry
Current & Past Employments
Similar Advisors
J. ALDEN ASSOCIATES, INC.
SPARTA WEALTH PARTNERS
LPL FINANCIAL LLC
CAPITAL ADVISORY SERVICES, LLC
Current Firm
CANOPY WEALTH MANAGEMENT | ERN FINANCIAL, LLC
Contact Information
Main Address
8215 Greenway Boulevard Suite 540, Middleton, WI 53562Phone Number
(608) 662-9018# of Employees
12SEC notice filing (21 States and Territories)
Registered to provide investment advisory services in 21 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
2,608AUM (Assets Under Management)
$1,153,857,864Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/28/2026 | Cover Page | Report |
| 10/27/2025 | Cover Page | Report |
| 10/28/2024 | Cover Page | Report |
| 01/26/2024 | Cover Page | Report |
Similar Advisors
J. ALDEN ASSOCIATES, INC.
SPARTA WEALTH PARTNERS
LPL FINANCIAL LLC
CAPITAL ADVISORY SERVICES, LLC
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.
Similar Advisors
J. ALDEN ASSOCIATES, INC.
SPARTA WEALTH PARTNERS
LPL FINANCIAL LLC
CAPITAL ADVISORY SERVICES, LLC
Primary Firm SEC Registration
CANOPY WEALTH MANAGEMENT | ERN FINANCIAL, LLC
State Registrations and Notice Filings
(8/26/2021)
(6/22/2021)
(6/22/2021)
(6/22/2021)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Mar 2024About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Mar 2024About the Series 9 examSimilar Advisors
J. ALDEN ASSOCIATES, INC.
SPARTA WEALTH PARTNERS
LPL FINANCIAL LLC
CAPITAL ADVISORY SERVICES, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Mark Gregory Buchanan's CRS (Customer Relationship Summary).
Similar Advisors
J. ALDEN ASSOCIATES, INC.
SPARTA WEALTH PARTNERS
LPL FINANCIAL LLC
CAPITAL ADVISORY SERVICES, LLC
