Richard C. Butler
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.
Richard Carl Butler was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2011 - May 4, 2012
GREENWOOD CAPITAL ASSOCIATES, LLC
January 2, 1997 - February 19, 1998
ABN AMRO INCORPORATED
April 18, 1984 - January 2, 1997
THE CHICAGO CORPORATION
Primary Firm SEC Registration
GREENWOOD CAPITAL ASSOCIATES, LLC
CRD#: 115015 / SEC#: 801-60493
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
GREENWOOD CAPITAL ASSOCIATES, LLC
CRD#: 115015 / SEC#: 801-60493
Contact information
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 706 |
| AUM (Assets Under Management) | $ 1,668,008,480 |
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.
