Hal B. Butler

CETERA INVESTMENT ADVISERS LLC

ROME, GA 30161

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CRD#: 1069655

Professional summary

Hal Bradley Butler is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Rome, Georgia and CETERA ADVISORS LLC located in Rome, Georgia.

Hal is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Hal has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) NAME OF OTHER BUSINESS: THE HB BUTLER GROUP LLC ; INVESTMENT RELATED: YES; ADDRESS: 900 N SECOND AVE ROME, GA 30165 ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 10/2021 ; POSITION/TITLE/RELATIONSHIP: OWNER/FINANCIAL PROFESSIONAL ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES ;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hal Bradley Butler's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2300 Jl Todd Dr Ne, Rome, GA 30161

RIA

CRD#: 105644

ROME, GA

Current

November 26, 2021 - Present

CETERA ADVISORS LLC

Office #1: 900 North 2nd Avenue Nw, Rome, GA 30165

CRD#: 10299

Rome, GA

Past

November 26, 2021 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

ROME, GA

Past

September 30, 2008 - December 2, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ROME, GA

Past

September 19, 2008 - December 2, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ROME, GA

Past

February 13, 2007 - September 22, 2008

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

ROME, GA

Past

February 13, 2007 - September 22, 2008

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

ROME, GA

Past

July 10, 2003 - February 13, 2007

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

RIA

CRD#: 111757

BIRMINGHAM, AL

Past

February 4, 2003 - July 10, 2003

AMSOUTH INVESTMENT SERVICES, INC.

RIA

CRD#: 15692

SUMMERVILLE, GA

Past

April 9, 1998 - February 13, 2007

AMSOUTH INVESTMENT SERVICES, INC.

CRD#: 15692

SUMMERVILLE, GA

Past

February 17, 1994 - September 25, 1997

NATIONSSECURITIES

CRD#: 32542

Past

November 19, 1989 - January 12, 1994

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

January 23, 1989 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

February 24, 1988 - January 9, 1989

LINSCO FINANCIAL GROUP, INC.

CRD#: 524

Past

October 20, 1982 - January 27, 1988

EDWARD JONES

CRD#: 250

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

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

Alabama
(11/26/2021)

Florida
(11/26/2021)

Georgia
(11/26/2021)

IAR

Georgia
(3/21/2024)

Kansas
(11/26/2021)

North Carolina
(12/8/2021)

Tennessee
(1/25/2022)

Texas
(11/26/2021)

IAR

Texas
(3/21/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/6/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/21/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/16/1982

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

Hal B. Butler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hal Bradley Butler's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

AMSOUTH INVESTMENT SERVICES, INC.

AMSOUTH INVESTMENT SERVICES, INC.

NATIONSSECURITIES

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

LINSCO FINANCIAL GROUP, INC.

EDWARD JONES

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/6/1996

Series 63

Date: 10/21/1982

SIE

Date: 10/1/2018

Series 7

Date: 10/16/1982

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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