Thomas A. Butler
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
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Arthur Butler's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1987
Experience
April 6, 2010 - Present
CHARTER ADVISORY CORPORATION
Office #1: 904 North State Street, Greenfield, IN 46140September 8, 2009 - Present
LPL FINANCIAL LLC
Office #1: 250 E 96th St, #200, Indianapolis, IN 46240July 22, 2002 - September 8, 2009
MUTUAL SERVICE CORPORATION
July 22, 1997 - August 22, 2002
NATHAN & LEWIS SECURITIES, INC.
April 29, 1992 - June 21, 2002
JOHN HANCOCK DISTRIBUTORS LLC
June 5, 1991 - December 31, 1991
MUTUAL SERVICE CORPORATION
February 2, 1989 - June 14, 1990
MUTUAL SERVICE CORPORATION
March 25, 1982 - February 8, 1989
JOHN HANCOCK DISTRIBUTORS LLC
Primary Firm SEC Registration
CHARTER ADVISORY CORPORATION
CRD#: 113390 / SEC#: 801-119736
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/8/2009)
(9/8/2009)
(12/19/2011)
(2/23/2021)
(2/23/2021)
(9/8/2009)
(4/6/2010)
(9/8/2009)
(1/20/2017)
(2/23/2021)
(4/11/2016)
(6/11/2025)
(11/21/2016)
(2/12/2010)
(2/23/2021)
(11/11/2021)
(2/23/2021)
(9/23/2014)
Exams
FINRA
Current Firm
CHARTER ADVISORY CORPORATION
CRD#: 113390 / SEC#: 801-119736
Contact information
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
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