Elizabeth A. 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.
Elizabeth Ann Butler, who also goes by Liz Butler, Elizabeth Ann Donovan, Elizabeth Ann Mohan, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 2004. Elizabeth had worked at 6 firms and has passed the Series 65, Series 66, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2024 - May 11, 2026
FISHER\SMB
October 18, 2022 - July 3, 2024
FISHER INVESTMENTS
January 8, 2020 - January 18, 2022
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
July 15, 2010 - May 22, 2019
TD AMERITRADE, INC.
July 15, 2010 - May 22, 2019
TD AMERITRADE, INC.
October 8, 2008 - March 2, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 13, 2005 - March 2, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 24, 2004 - March 24, 2005
E*TRADE SECURITIES LLC
Primary Firm SEC Registration
FISHER\SMB
CRD#: 331205 / SEC#: 801-130272
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
Series 7TO
Date: 3/28/2024
General Securities Representative ExaminationCurrent Firm
FISHER\SMB
CRD#: 331205 / SEC#: 801-130272
Contact information
SEC notice filing (48 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,768 |
| AUM (Assets Under Management) | $ 5,461,349,416 |
Red Flags
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