Keith Wayne Buchanan

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
WA	RA	APPROVED	2014-08-13
CA	RA	APPROVED	1997-12-31

WA RA
APPROVED

Since 2014-08-13
CA RA
APPROVED

Since 1997-12-31

Branch Locations

Port Townsend, WA • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial, Llc	Port Townsend	WA	10/1992	Present
Keith Buchanan Insurance Agency	Ste 11 Redlands	CA	06/1995	Present

10/1992 → Present

Lpl Financial, Llc

Port Townsend, WA
06/1995 → Present

Keith Buchanan Insurance Agency

Ste 11 Redlands, CA

Other Businesses

1. 8/1/2002 - NON-VARIABLE INSURANCE - INSURANCE - PORT TOWNSEND, WA. 2. 4/24/2006 - OTHER-INTERNET - KEITH BUCHANAN - SHOWING PEOPLE HOW TO SET UP WEB SITES AND BLOGS FOR THEMSELVES. - TIME SPENT 10% - PORT TOWNSEND, WA. 3. 1/24/2007 - OTHER-NAME ONLY - KEITH BUCHANAN FINANCIAL SVS - BUSINESS CHECKING ACCOUNT. KEITH BUCHANAN FINANCIAL SERVICES THIS IS NAME ONLY. - TIME SPENT 0% - PORT TOWNSEND, WA. 4. 12/13/2011 - DBA ONLY - KEITH BUCHANAN & ASSOCIATES WEALTH PLANNING GROUP - PORT TOWNSEND, WA. 5. 11/20/2012 - KB Wealth Planning Group - INV REL - AT REPORTED LOCATION - DBA for LPL Business (entity for LPL business). 6. 10/28/2015: KWB Insurance Agency - Investment Related - At Reported Business Location(s) - Insurance Agency - Started 01/01/1986 - 10 Hours Per Month/1 Hour During Securities Trading. 7. 11/7/2018 - Cleo & Grey - Not Investment Related - 30 Grant Street Port Townsend WA 98368 - Business Owner - Co-Owner - Start Date: 04/07/2016 - 20 Hours Per Month/0 Hours During Securities Trading - Wife's business.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1993-12-30

S63 Uniform Securities Agent State Law Examination

1993-12-30

View on SEC IAPD