Mark F. Butler

BUTLER & CO.

SOUTH WINDSOR, CT

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CRD#: 1217156

Professional summary

Mark Francis Butler is a registered financial advisor currently at BUTLER & CO., INC. located in South Windsor, Connecticut.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Mark has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4, Series 27 and Series 24 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)LICENSED REAL ESTATE BROKER: 46 Sunset Terrace, S. Windsor, CT 06074. 2-10-1984. NOT CURRENTLY ACTIVE, NO TIME SPENT. 2) BUTLER & CO., INC.: 950 SULLIVAN AVE, STE 19, SOUTH WINDSOR, CT 06074. 05/1989. I AM PRESIDENT/OWNER OF THIS RIA FIRM. I WILL DEVOTE 80 HOUS PER MONTH TO THIS BUSINESS, ALL DURING SECURITIES TRADING HOURS. I AM COMPENSATED BY FEES. 3) ACT INTERNATIONAL, INC.: 46 SUNSET TERRACE, SOUTH WINDSOR, CT 06074. 12/1999. I AM FOUNDER OF THIS RELIGIOUS SOCIAL SERVICES NON-PROFIT. I WILL DEVOTE 1 HOUR PER MONTH TO THIS BUSINESS. I AM NOT COMPENSATED. 4) GULFSTAR CORPORATION: 46 SUNSET TERRACE, SOUTH WINDSOR, CT 06074. 06/2007. I AM THE FOUNDER OF THIS OIL AND GAS PRIVATE INVESTMENT VEHICLE. I DEVOTE 1 HOUR PER MONTH TO THIS BUSINESS. I AM NOT COMPENSATED. 5) HOLLYWOOD HOTELS CORPORATION: 5605 RIGGINS COURT, SUITE 200, RENO, NV 89502. 12/1999. This is an inactive private investment vehicle. I devote no time to this and am not compensated.

Blog Corner

CRS (Client Relationship Summary) - RIA

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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

June 8, 2010 - Present

BUTLER & CO., INC.

RIA

CRD#: 153715

SOUTH WINDSOR, CT

Past

November 2, 2018 - July 23, 2019

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

CHARLOTTE, NC

Past

January 8, 2015 - May 1, 2017

NORTHEAST SECURITIES, LLC

CRD#: 25996

South Windsor, CT

Past

April 27, 2010 - December 31, 2013

NORTHEAST SECURITIES, LLC

CRD#: 25996

SOUTH WINDSOR, CT

Past

December 9, 2004 - April 28, 2010

CANTELLA & CO., INC.

RIA

CRD#: 13905

WINDSOR, CT

Past

December 9, 2004 - April 28, 2010

CANTELLA & CO., INC.

CRD#: 13905

WINDSOR, CT

Past

October 3, 1989 - December 10, 2004

BUTLER & CO., INC.

CRD#: 24919

SOUTH WINDSOR, CT

Past

March 22, 1988 - July 15, 1989

BUELL SECURITIES CORP.

CRD#: 1342

Past

March 16, 1988 - March 19, 1988

E. T. ANDREWS & CO., INC.

CRD#: 1090

Past

November 14, 1984 - July 15, 1989

BUELL SECURITIES CORP.

CRD#: 1342

GLASTONBURY, CT

Past

December 21, 1983 - November 23, 1984

FAHNESTOCK INTERNATIONAL INC.

CRD#: 279

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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(6/8/2010)

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

IAR

Series 65

Date: 7/2/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/14/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/1/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/17/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 10/30/1990

Registered Options Principal Examination

Principal/Supervisory Exam

Series 27

Date: 9/20/1989

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/2/1989

General Securities Principal Examination

Current Firm

BUTLER & CO., INC.

CRD#: 153715 / SEC#:

Connecticut

Registered Investment Advisory firm - (6/8/2010 Approved)

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Contact information

Main Address

46 Sunset Terrace, South Windsor, CT 06074-1445

Mailing Address

Phone number

(860) 644-4024

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	9
AUM (Assets Under Management)	$ 10,710,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Mark F. Butler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Francis Butler's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUTHEAST INVESTMENTS, N.C., INC.

NORTHEAST SECURITIES, LLC

NORTHEAST SECURITIES, LLC

CANTELLA & CO., INC.

CANTELLA & CO., INC.

BUTLER & CO., INC.

BUELL SECURITIES CORP.

E. T. ANDREWS & CO., INC.

BUELL SECURITIES CORP.

FAHNESTOCK INTERNATIONAL INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/2/2004

Series 63

Date: 8/14/1989

SIE

Date: 5/1/2017

Series 7

Date: 12/17/1983

Series 4

Date: 10/30/1990

Series 27

Date: 9/20/1989

Series 24

Date: 8/2/1989

Current Firm

BUTLER & CO., INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BUTLER & CO., INC.

TRUST BUT VERIFY

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