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Feed of 09/14/2026
Also filed as S••••• Ann Buchanan
At current firm
11 y
since Apr 20, 2015
In the industry
27 y
since Nov 24, 1998 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Apr 20, 2015 · Dallas, Tx
- M••••• S•••••• wirehouseMar 20, 2015 to Mar 30, 2015 · Dallas, Tx
- B••••••• C•••••• I••• formerMar 28, 2011 to Apr 9, 2015 · Dallas, Tx
- W•••• F•••• A••••••• wirehouseDec 6, 2010 to Mar 30, 2011 · Dallas, Tx
- B••••••• C•••••• I••• formerJan 21, 2009 to Nov 23, 2010 · Dallas, Tx
- L••••• B••••••• I••• unclassifiedJun 18, 2007 to Oct 15, 2008 · New York, Ny
- C•••••• S••••• • C••• I••• national BDMar 8, 2004 to Jun 15, 2007 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- B••••••• C•••••• I••• to M••••• S••••••left Apr 9, 2015, registered Mar 20, 2015 (-20 days) · Other · moved with a team
- W•••• F•••• A••••••• to B••••••• C•••••• I•••left Mar 30, 2011, registered Mar 28, 2011 (-2 days) · Other
- B••••••• C•••••• I••• to W•••• F•••• A•••••••left Nov 23, 2010, registered Dec 6, 2010 (13 days) · Other
- L••••• B••••••• I••• to B••••••• C•••••• I•••left Oct 15, 2008, registered Jan 21, 2009 (98 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to L••••• B••••••• I•••left Jun 15, 2007, registered Jun 18, 2007 (3 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address