Keith E. Butler
Professional summary
Keith Eric Butler is a registered financial professional currently at 1964 GLOBAL located in New York, New York.
Keith is registered as a RR (Registered Representative) and started their career in finance in 1985. Keith has worked at 6 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Keith Eric Butler's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 16, 2006 - Present
1964 GLOBAL
Office #1: 71 Murray Street No. 8, New York, NY 10007December 1, 2005 - July 5, 2006
DOLEY SECURITIES, LLC.
January 23, 2001 - January 16, 2004
UBS SECURITIES LLC
December 9, 1997 - March 12, 2001
UBS FINANCIAL SERVICES INC.
January 1, 1992 - July 2, 1997
ALEX. BROWN & SONS INCORPORATED
December 23, 1985 - October 10, 1990
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/20/2016)
(4/25/2016)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
1964 GLOBAL
CRD#: 139091 / SEC#: , 8-67187
Contact information
FINRA licenses (3 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
