William F. 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.
William Francis Butler III, who also goes by William F Butler, William Francis Butler, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1984. William had worked at 10 firms and has passed the Series 63, SIE 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
February 17, 2017 - May 10, 2017
AGES FINANCIAL SERVICES, LTD.
October 8, 2003 - April 24, 2017
SOURCE CAPITAL GROUP, INC.
January 9, 2003 - October 8, 2003
GREAT EASTERN SECURITIES, INC.
December 18, 2000 - January 30, 2001
MERIT CAPITAL ASSOCIATES, INC.
January 21, 1997 - January 6, 1999
MERIT CAPITAL ASSOCIATES, INC.
December 19, 1994 - October 16, 1996
UBS SECURITIES LLC
May 11, 1993 - November 2, 1994
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
April 30, 1991 - February 10, 1993
INTESA SANPAOLO IMI SECURITIES CORP.
October 12, 1989 - April 30, 1991
MABON, NUGENT & CO.
February 22, 1988 - June 10, 1989
DB ALEX. BROWN LLC
September 21, 1984 - February 4, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AGES FINANCIAL SERVICES, LTD.
CRD#: 15427 / SEC#: , 8-32155
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
Red Flags
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