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PARTNERS

Vincent Buchanan, Founder

Vincent Buchanan is a Managing Director of MarcumBuchanan Associates LLC. He is responsible for ensuring that the Firm's clients receive a high-level of quality service by offering needed accounting and compliance advice and support to smaller firms.

A seasoned financial executive with more than 40 years of diverse hands-on Wall Street experience, Mr. Buchanan is dedicated to making the Firm a superior source for compliance solutions. He works closely with smaller broker-dealers, investment advisers and hedge funds to provide cost-effective solutions to the challenges they face by operating in a highly regulated business environment.

In addition, Mr. Buchanan represents foreign institutions seeking to form or acquire U.S. broker-dealer affiliations. He has developed strategic alliances with firms in Europe and coordinates compliance for those subject to multiple global regulatory authorities. Mr. Buchanan also focuses on the needs of investment advisers who manage hedge funds and has expertise in aiding those firms in the transition to a regulated environment.

Previously, Mr. Buchanan held positions in trading, sales and syndication management. His broad experience includes back-office supervision, budget and branch management, cashiering and cash management, control and account reconciliation, dividend claims, margin and stock record control.

Professional & Civic Affiliations
Wall Street Charity Fund, President & CEO

 

AREAS OF EXPERTISE
Financial & Regulatory Compliance
Compliance Consulting

KEY CLIENTS
Broker-Dealers
Investment Advisers
Hedge Funds


Michael L. Callahan, President

Michael L. Callahan is President of MarcumBuchanan Associates LLC. He has more than 35 years of regulatory experience. Mr. Callahan manages a staff of compliance consultants and financial operations principals that deliver ongoing regulatory services to a host of broker-dealer and investment adviser clients. The staff also specializes in navigating newly formed broker-dealers and investment advisers through the Securities Exchange Commission and/or the Financial Industry Regulatory Authority (FINRA) registration process.

Mr. Callahan has an in-depth background in the regulatory industry including 20 years at NASD, now known as FINRA. He served in several key roles including Investigator – Anti Fraud (Philadelphia), Assistant Director – NASDAQ Market Surveillance (Washington DC), Assistant Director – District 3 (Denver), Director – Internal Review (Washington DC) and Assistant Director – District 10 (New York).

After FINRA Mr. Callahan developed extensive experience in the insurance industry. He joined a Fortune 100 company as Senior Vice President in Charge of Corporate Compliance where he developed a compliance program for the insurer modeled on the securities industry. Such efforts earned him and the company recognition as leaders by the American Council of Life Insurance (ACLI) which elected Mr. Callahan as the first Chairman of its newly formed Compliance Section. Later in his career, he served as Vice President of another leading provider of insurance and financial services.

As an entrepreneurial venture, Mr. Callahan became an investor and Managing Director of a research and execution broker dealer servicing institutional accounts. More recent experience has landed him with diversified providers of regulatory services and staff to the industry.

Professional & Civic Affiliations
SIFMA Compliance & Legal Section
Irish Business Organzation of New York
The Berkeley Carroll School, Former Trustee
ACLI Compliance Section, Former Chairman
FINRA Registered Principal

 

AREAS OF EXPERTISE
Financial & Regulatory Compliance
Compliance Consulting

KEY CLIENTS
Broker-Dealers
Investment Advisers
Hedge Funds

 
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