Ronald D. Butt
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.
Ronald Dean Butt was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1983. Ronald had worked at 5 firms and has passed the Series 63, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2010 - April 24, 2023
CERITY PARTNERS OCIO LLC
August 19, 2003 - May 31, 2013
NATIONAL PLANNING CORPORATION
August 8, 2003 - May 31, 2013
NATIONAL PLANNING CORPORATION
June 23, 1989 - August 25, 2003
IDS LIFE INSURANCE COMPANY
June 23, 1989 - August 25, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
August 11, 1983 - May 11, 1989
PFS INVESTMENTS INC.
Primary Firm SEC Registration
CERITY PARTNERS OCIO LLC
CRD#: 151916 / SEC#: 801-70888
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
CERITY PARTNERS OCIO LLC
CRD#: 151916 / SEC#: 801-70888
Contact information
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 50 |
| AUM (Assets Under Management) | $ 17,346,720,716 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/09/2025 | ||
| 05/04/2023 | ||
| 01/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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