Thomas A. Butler
CHARTER ADVISORY
GREENFIELD, IN 46140
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CRD#: 1033101
Professional summary
Thomas Arthur Butler, CFP®, who also goes by Tom Butler, is a registered financial advisor currently at CHARTER ADVISORY CORPORATION located in Greenfield, Indiana and LPL FINANCIAL LLC located in Indianapolis, Indiana.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Thomas has worked at 5 firms and has passed the Series 63, SIE, Series 22, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Butler
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 07/29/2010 - REAL ESTATE RENTAL - PILLAR REAL ESTATE - PARTNER - REAL ESTATE INVESTING - OBTAINING REAL ESTATE TO RE-HAB AND RE-SELL OR HOLD AS RENTAL PROPERTY - NET RENTAL GAIN OR PROFIT FROM RE-SALE OF PROPERTY - LOOKING FOR REAL ESTATE INVESTMENTS. - TIME SPENT 5%.
2. 9/9/2010 - Charter Advisory Corporation - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Started 03/2010 - 32 Hours Per Month - Time Spent 20% - I provide investment advisory services through Charter Advisory Corporation, an independent investment advisor firm. I started this business activity in 03/2010. I expect to spend approximately 32 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
3. 07/12/2012 - Butler Financial Services - INV REL - AT REPORTED LOCATION - DBA for LPL Business (entity for LPL business)
4. 7/13/2012: NON-VARIABLE INSURANCE - BUTLER INSURANCE - PROPERTY & CASUALTY BROKER - TIME SPENT 10% - GREENFIELD, IN
5. 12/26/2013 - PILLAR REAL ESTATE LLC - REAL ESTATE RENTAL - 5 RESIDENTIAL RENTAL PROPERTIES - TIME SPENT 3% - GREENFIELD IN
6. 01/21/2016 - B & C Properties ! LLC - INV REL - 2150 Muessing Rd Indianapolis IN 46239 - Real Estate Rental - START 06/01/1990 - 1 HOUR PER MONTH - real estate partnership that buys, sells and rents residential property.
7. 12/4/2018 - Butler Insurance - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 06/17/1974 - 100 Hours Per Month/50 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Arthur Butler's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1987
Experience
Current
April 6, 2010 - Present
CHARTER ADVISORY CORPORATION
Office #1: 904 North State Street, Greenfield, IN 46140RIA
CRD#: 113390
GREENFIELD, IN
Current
September 8, 2009 - Present
LPL FINANCIAL LLC
Office #1: 250 E 96th St, #200, Indianapolis, IN 46240RIA
BD
CRD#: 6413
INDIANAPOLIS, IN
Past
July 22, 2002 - September 8, 2009
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
GREENFIELD, IN
Past
July 22, 1997 - August 22, 2002
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
April 29, 1992 - June 21, 2002
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
Past
June 5, 1991 - December 31, 1991
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
February 2, 1989 - June 14, 1990
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
March 25, 1982 - February 8, 1989
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CA
CHARTER ADVISORY CORPORATION
CHARTER ADVISORY CORPORATION | FINANCIAL CONSULTANTS & ADVISORY CORPORATION
CRD#: 113390 / SEC#: 801-119736
RIA
Registered Investment Advisory firm - (1/12/2021 Approved)Indiana
Registered Investment Advisory firm - (2/9/2021 Terminated)Louisiana
Registered Investment Advisory firm - (2/11/2021 Terminated)Missouri
Registered Investment Advisory firm - (2/5/2021 Terminated)Ohio
Registered Investment Advisory firm - (2/5/2021 Terminated)Texas
Registered Investment Advisory firm - (2/5/2021 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(9/8/2009)
RR
California(9/8/2009)
RR
Connecticut(12/19/2011)
RR
Florida(2/23/2021)
RR
Georgia(2/23/2021)
RR
Indiana(9/8/2009)
IAR
Indiana(4/6/2010)
RR
Louisiana(9/8/2009)
RR
Michigan(1/20/2017)
RR
Missouri(2/23/2021)
RR
New Jersey(4/11/2016)
RR
New York(6/11/2025)
RR
Ohio(11/21/2016)
RR
Oklahoma(2/12/2010)
RR
Oregon(2/23/2021)
RR
South Carolina(11/11/2021)
RR
Texas(2/23/2021)
RR
Wisconsin(9/23/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CHARTER ADVISORY CORPORATION
CHARTER ADVISORY CORPORATION | FINANCIAL CONSULTANTS & ADVISORY CORPORATION
CRD#: 113390 / SEC#: 801-119736
RIA
Registered Investment Advisory firm - (1/12/2021 Approved)Indiana
Registered Investment Advisory firm - (2/9/2021 Terminated)Louisiana
Registered Investment Advisory firm - (2/11/2021 Terminated)Missouri
Registered Investment Advisory firm - (2/5/2021 Terminated)Ohio
Registered Investment Advisory firm - (2/5/2021 Terminated)Texas
Registered Investment Advisory firm - (2/5/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
250 E. 96th Street Suite 200, Indianapolis, IN 46240
Mailing Address
Phone number
(317) 844-7416
Established
Firm type
Fiscal year end
# of Employees
14
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,002 |
| AUM (Assets Under Management) | $ 366,305,467 |
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.
