Roy A. Butta
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Roy Anthony Butta was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1981. Roy had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2011 - October 29, 2018
STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS
July 6, 2009 - July 30, 2009
MORGAN JOSEPH TRIARTISAN LLC
March 24, 2009 - June 30, 2009
JESUP & LAMONT SECURITIES CORP
July 6, 1993 - December 5, 2008
KEYBANC CAPITAL MARKETS INC.
October 22, 1991 - July 8, 1993
GLOBAL PARTNERS SECURITIES INC.
August 29, 1991 - October 29, 1991
GRUNTAL & CO., L.L.C.
September 19, 1988 - August 16, 1991
CREDIT AGRICOLE SECURITIES (USA) INC.
May 24, 1988 - July 26, 1988
LAIDLAW GLOBAL SECURITIES, INC.
March 8, 1988 - June 13, 1988
KUHNS BROTHERS & LAIDLAW, INC.
October 27, 1986 - February 25, 1988
SWERGOLD, CHEFITZ & INCORPORATED
April 23, 1986 - June 18, 1986
WALSH, GREENWOOD & CO.
November 27, 1981 - March 10, 1986
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS
CRD#: 149326 / SEC#: 801-116875, 8-68138
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STRATEGAS SECURITIES, LLC DBA STRATEGAS RESEARCH PARTNERS
CRD#: 149326 / SEC#: 801-116875, 8-68138
Contact information
SEC notice filing (2 States and Territories)
FINRA licenses (16 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAIRD FINANCIAL CORPORATION | SHAREHOLDER | |
| ANTHONY, DANNELL WAYNE | FINOP, DIRECTOR OF FINANCE | 7038021 |
| BOHNSACK, NICHOLAS GREGORY | PRESIDENT / COO | 4571796 |
| BOOTH, STEVEN GREGORY | DIRECTOR | 2147388 |
| GABAY, EILEEN MARGARET | CHIEF OPERATING OFFICER | 5602349 |
| LANGENFELD, JON A | DIRECTOR | 4322120 |
| LOGUE, SOFIA | CHIEF COMPLIANCE OFFICER | 6406784 |
| RISSMILLER, DONALD JAMES | VICE CHAIRMAN / PRINCIPAL | 5227351 |
| TOTORO, MICHAEL A | CHIEF TECHNOLOGY OFFICER | 1552053 |
| TRENNERT, JASON RICHARD | CHAIRMAN / CEO | 2079457 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
