Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Buchanan is a financial professional with over 30 years of experience in the financial services industry. Mark has held positions at several firms, including Fidelity Brokerage Services LLC and Smith Barney, Harris Upham & Co., Incorporated. Mark is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and holds a variety of licenses and certifications, including Series 7, 9, 10, 31, 52, 63 and 65. Mark provides financial advice and services to a wide range of clients, including individuals, families, businesses, and institutions.
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
MA
07/09/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BURLINGTON MA)
MA
04/01/2004 - 01/04/2013
FIDELITY BROKERAGE SERVICES LLC (BOSTON MA)
RI
09/28/1993 - 05/20/2003
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
CT
03/17/1993 - 07/22/1993
U.S. SECURITIES, INC. (HARTFORD CT)
NY
03/22/1991 - 08/27/1992
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
11/23/1988 - 04/12/1991
BAYBANKS BROKERAGE SERVICES, INC.
IA
Issued 2/19/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/8/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/17/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 2/11/2022
Series 31 - Futures Managed Funds Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/1988
Series 7 - General Securities Representative Examination
BC
Issued 6/10/1987
Series 52 - Municipal 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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