JB
James E. Buchanan
HENNION & WALSH ASSET MANAGEMENT
Boca Raton, FL 33431
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CRD#: 6957271
JB
Professional summary
James Edward Buchanan, who also goes by Jeb Buchanan, is a registered financial advisor currently at HENNION & WALSH ASSET MANAGEMENT, INC. located in Boca Raton, Florida and HENNION & WALSH, INC. located in Boca Raton, Florida.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. James has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeb 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 Edward 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
May 8, 2024 - Present
HENNION & WALSH ASSET MANAGEMENT, INC.
Office #1: 777 Yamato Road Suite 500, Boca Raton, FL 33431RIA
CRD#: 126236
Boca Raton, FL
Current
July 18, 2018 - Present
HENNION & WALSH, INC.
Office #1: 777 Yamato Road Suite 500, Boca Raton, FL 33431BD
CRD#: 25766
Boca Raton, FL
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".
H&
HENNION & WALSH ASSET MANAGEMENT, INC.
HENNION & WALSH ASSET MANAGEMENT, INC.
CRD#: 126236 / SEC#: 801-61977
RIA
Registered Investment Advisory firm - (5/2/2003 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(1/2/2019)
RR
Arizona(1/2/2019)
RR
California(8/28/2018)
RR
Colorado(10/1/2019)
RR
Connecticut(1/2/2019)
RR
Florida(7/18/2018)
RR
Georgia(3/19/2020)
RR
Illinois(8/28/2018)
RR
Iowa(2/28/2024)
RR
Kansas(1/2/2019)
RR
Kentucky(1/2/2019)
RR
Maine(7/16/2020)
RR
Maryland(8/6/2019)
RR
Massachusetts(8/14/2023)
RR
Michigan(5/1/2023)
RR
Minnesota(1/2/2019)
RR
Missouri(1/2/2019)
RR
Montana(6/3/2020)
RR
Nevada(1/2/2019)
RR
New Hampshire(11/27/2024)
RR
New Jersey(8/28/2018)
IAR
New Jersey(5/8/2024)
RR
New York(8/28/2018)
RR
North Carolina(1/2/2019)
RR
Ohio(7/18/2018)
RR
Oklahoma(1/2/2019)
RR
Oregon(9/26/2022)
RR
Pennsylvania(8/27/2020)
RR
Rhode Island(6/5/2024)
RR
South Carolina(11/21/2022)
RR
Tennessee(12/2/2022)
RR
Texas(8/28/2018)
RR
Virginia(1/2/2019)
RR
Washington(1/2/2019)
RR
Wisconsin(1/2/2019)
RR
Wyoming(7/11/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
H&
HENNION & WALSH ASSET MANAGEMENT, INC.
HENNION & WALSH ASSET MANAGEMENT, INC.
CRD#: 126236 / SEC#: 801-61977
RIA
Registered Investment Advisory firm - (5/2/2003 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2001 Route 46 Waterview Plaza, Parsippany, NJ 07054
Mailing Address
Phone number
(973) 299-8989
Established
Firm type
Fiscal year end
# of Employees
75
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,423 |
| AUM (Assets Under Management) | $ 590,106,063 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2024 | ||
| 10/27/2023 | ||
| 09/28/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
HENNION & WALSH ASSET MANAGEMENT, INC.
CRD#: 126236Boca Raton, FL 33431TRUST BUT VERIFY
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