Susan A. Butler

MOMENTUM INDEPENDENT NETWORK

HOUSTON, TX

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CRD#: 1200264

Professional summary

Susan Ann Butler, who also goes by Clark Susan Ann, Susan Clark Butler, Susan Ann Clark, Susan Ann Smothers, is a registered financial professional currently at MOMENTUM INDEPENDENT NETWORK INC. located in Houston, Texas.

Susan is registered as a RR (Registered Representative) and started their career in finance in 1983. Susan has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Clark Susan Ann | Susan Clark Butler | Susan Ann Clark | Susan Ann Smothers

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Susan Ann 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

September 10, 1999 - Present

MOMENTUM INDEPENDENT NETWORK INC.

RIA

CRD#: 17587

HOUSTON, TX

Past

March 2, 1998 - October 20, 1999

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

January 2, 1998 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

April 5, 1991 - January 2, 1998

RAUSCHER PIERCE REFSNES, INC.

CRD#: 6663

DALLAS, TX

Past

November 22, 1988 - April 12, 1991

GMS GROUP

CRD#: 8000

Past

September 3, 1985 - December 31, 1988

MOORE & SCHLEY, CAMERON & CO.

CRD#: 6917

Past

September 3, 1985 - April 12, 1991

GMS GROUP

CRD#: 8000

EAST HANOVER, NJ

Past

October 22, 1984 - July 30, 1985

DONALD SHELDON & CO., INC.

CRD#: 6966

Past

October 19, 1983 - September 21, 1984

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

MOMENTUM INDEPENDENT NETWORK INC.

CRD#: 17587 / SEC#: 801-60812, 8-35475

RIA

Registered Investment Advisory firm - SEC (1/18/2002 Approved)

Alabama

Registered Investment Advisory firm - SEC (11/1/2004 Terminated)

California

Registered Investment Advisory firm - SEC (1/18/2002 Terminated)

Colorado

Registered Investment Advisory firm - SEC (1/18/2002 Terminated)

District of Columbia

Registered Investment Advisory firm - SEC (12/31/2002 Terminated)

Georgia

Registered Investment Advisory firm - SEC (4/18/2002 Terminated)

Kansas

Registered Investment Advisory firm - SEC (1/18/2002 Cancelled)

Louisiana

Registered Investment Advisory firm - SEC (1/18/2002 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (4/23/2002 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (4/18/2002 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (4/18/2002 Terminated)

New York

Registered Investment Advisory firm - SEC (1/18/2002 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (4/18/2002 Terminated)

Ohio

Registered Investment Advisory firm - SEC (1/18/2002 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (1/18/2002 Terminated)

Oregon

Registered Investment Advisory firm - SEC (12/5/2001 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (4/18/2002 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (4/19/2002 Terminated)

Utah

Registered Investment Advisory firm - SEC (4/18/2002 Terminated)

West Virginia

Registered Investment Advisory firm - SEC (4/18/2002 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Arkansas
(2/7/2023)

California
(1/2/2002)

Colorado
(9/10/1999)

Connecticut
(2/4/2003)

Florida
(7/8/2002)

Georgia
(4/5/2006)

Illinois
(10/24/2000)

Kentucky
(9/1/2005)

Louisiana
(9/10/1999)

Missouri
(8/16/2002)

Nevada
(1/6/2020)

New Mexico
(4/20/2010)

New York
(1/24/2001)

North Carolina
(9/24/2019)

Oklahoma
(9/10/1999)

Oregon
(9/10/1999)

Texas
(9/10/1999)

Virginia
(9/10/1999)

Washington
(9/10/1999)

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.

Exams

State Security Law Exam

Series 63

Date: 11/3/1983

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: 10/15/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 8

Date: 1/15/1987

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

MOMENTUM INDEPENDENT NETWORK INC.

CRD#: 17587 / SEC#: 801-60812, 8-35475

RIA

Registered Investment Advisory firm - SEC (1/18/2002 Approved)

Alabama

Registered Investment Advisory firm - SEC (11/1/2004 Terminated)

California

Registered Investment Advisory firm - SEC (1/18/2002 Terminated)

Colorado

Registered Investment Advisory firm - SEC (1/18/2002 Terminated)

District of Columbia

Registered Investment Advisory firm - SEC (12/31/2002 Terminated)

Georgia

Registered Investment Advisory firm - SEC (4/18/2002 Terminated)

Kansas

Registered Investment Advisory firm - SEC (1/18/2002 Cancelled)

Louisiana

Registered Investment Advisory firm - SEC (1/18/2002 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (4/23/2002 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (4/18/2002 Terminated)

New Mexico

Registered Investment Advisory firm - SEC (4/18/2002 Terminated)

New York

Registered Investment Advisory firm - SEC (1/18/2002 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (4/18/2002 Terminated)

Ohio

Registered Investment Advisory firm - SEC (1/18/2002 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (1/18/2002 Terminated)

Oregon

Registered Investment Advisory firm - SEC (12/5/2001 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (4/18/2002 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (4/19/2002 Terminated)

Utah

Registered Investment Advisory firm - SEC (4/18/2002 Terminated)

West Virginia

Registered Investment Advisory firm - SEC (4/18/2002 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

717 N. Harwood Street Suite 3400, Dallas, TX 75201

Mailing Address

717 Harwood Street Suite 3400, Dallas, TX 75201

Phone number

(214) 859-1800

Established

Texas since 01/07/1983

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

SEC notice filing (50 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MOMENTUM WRAP BROCHURE 08/29/2025 (8/29/2025)

MOMENTUM FIRM BROCHURE 08/29/2025 (8/29/2025)

Direct owners and executive officers

Name	Position	CRD#
HILLTOP SECURITIES HOLDINGS, LLC	PARENT
ALEXANDER, LAURA BONNELL	BOARD DIRECTOR	2900382
COYA, SCOTT ANDREW	CHIEF COMPLIANCE OFFICER	2511281
EDGE, JOSEPH MICHAEL	CHIEF FINANCIAL OFFICER	4326551
EDGE, JOSEPH MICHAEL	BOARD DIRECTOR	4326551
LEVENTHAL, LAURA	BOARD DIRECTOR	1175259
LEVENTHAL, LAURA	TREASURER	1175259
MCCAFFREY, SCOTT EDWARD	MANAGING DIRECTOR - HEAD OF MOMENTUM INDEPENDENT NETWORK INC.	3076398
MEDANICH, DAVID KING	BOARD DIRECTOR	1030727
MUSCHALEK, JOHN RICHARD	PRESIDENT	2226859
MUSCHALEK, JOHN RICHARD	BOARD DIRECTOR	2226859
TEMPLE, WILLIAM BARRY	MUNICIPAL PRINCIPAL	2357830
WINGES, MARTIN BRADLEY	CHAIRMAN OF THE BOARD	1929509
WINGES, MARTIN BRADLEY	CEO	1929509
WITTNEBEN, BRIAN LANE	GENERAL COUNSEL/SECRETARY	4861905

Regulatory assets under management

Total Number of Accounts	2,850
AUM (Assets Under Management)	$ 1,337,377,801

Disclosures

Regulatory Event	10
Arbitration	3

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/21/2025	Cover Page	Report
07/26/2024	Cover Page	Report
07/20/2023	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

Susan A. Butler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Susan Ann Butler's CRS (Customer Relationship Summary).

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

RAUSCHER PIERCE REFSNES, INC.

GMS GROUP

MOORE & SCHLEY, CAMERON & CO.

GMS GROUP

DONALD SHELDON & CO., INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

MOMENTUM INDEPENDENT NETWORK INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/3/1983

SIE

Date: 10/1/2018

Series 7

Date: 10/15/1983

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 8

Date: 1/15/1987

FINRA

Current Firm

MOMENTUM INDEPENDENT NETWORK INC.

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

MOMENTUM INDEPENDENT NETWORK INC.

TRUST BUT VERIFY

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