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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn S. Buchanan is a financial advisor with UBS Financial Services Inc. in Los Angeles, California. John has been working in the financial services industry since 1993. John has a wide range of experience and expertise, and has earned several securities licenses including the Series 7, 63, 9, 10, 24, and 31. Prior to joining UBS, John worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated, GNA Securities, Inc., and Pacific First Securities, Ltd. John specializes in providing financial advice to individuals, high-net-worth individuals, corporations, and other businesses. John also has experience with investment companies, charitable organizations, and pension and profit-sharing plans.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
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.
See schedule d - miscellaneous
1
2
CA
09/09/2005 - Present
UBS Financial Services Inc. (Los Angeles CA)
NY
04/16/1998 - 09/13/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
VA
07/11/1991 - 04/08/1992
GNA SECURITIES, INC. (GLEN ALLEN VA)
NA
11/19/1990 - 05/17/1991
PACIFIC FIRST SECURITIES, LTD.
NA
12/17/1985 - 04/29/1989
CS FIRST BOSTON CORPORATION
BOTH
Issued 04/30/1998
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/23/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/04/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/01/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/19/1988
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/01/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 04/15/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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