Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Francis? Claim Your ProfileFrancis Buchan has been in the financial industry since December 1994. Francis is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Alabama and Texas. Francis has passed several securities exams including Series 7, Series 63, Series 65, Series 8, Series 9, Series 10, Series 31, and SIE. Francis provides a variety of advisory services including portfolio management for individuals and businesses, pension consulting, educational seminars, selection of other advisors and performance measurement reports.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
AL
04/12/1996 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BIRMINGHAM AL)
IA
Issued 01/05/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/22/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/12/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/24/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 12/07/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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