BB
Buddy J. Butler
SIGNAL SECURITIES
KELLER, TX
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CRD#: 1315363
BB
Professional summary
Buddy Joseph Butler is a registered financial advisor currently at SIGNAL SECURITIES, INC. located in Keller, Texas.
Buddy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Buddy has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 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.
BUTLER INVESTMENT GROUP
12/1/2006
INVESTMENT RELATED
1668 KELLER PKWY, STE. 300�KELLER, TX 76248
TAX PREPARATION
OWNER
1-5
1-5
TAX PREP
CRS (Client Relationship Summary) - RIA
Click below to view Buddy Joseph Butler's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Buddy Joseph Butler's 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®
NoneExperience
Current
December 1, 2006 - Present
SIGNAL SECURITIES, INC.
RIA
BD
CRD#: 15916
KELLER, TX
Current
December 5, 2006 - Present
SIGNAL SECURITIES, INC.
RIA
BD
CRD#: 15916
Keller, TX
Past
August 13, 2002 - December 6, 2006
LEO BROKERAGE, LLC
RIA
CRD#: 109121
BEDFORD, TX
Past
January 16, 2002 - December 6, 2006
LEO BROKERAGE, LLC
BD
CRD#: 109121
BEDFORD, TX
Past
September 20, 1999 - December 31, 2001
WORLD CHOICE SECURITIES, INC.
BD
CRD#: 30933
COLUMBUS, OH
Past
April 17, 1995 - February 3, 1999
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
February 7, 1992 - December 31, 1994
AMERICAN EXPRESS SERVICE CORPORATION
BD
CRD#: 10518
MINNEAPOLIS, MN
Past
November 13, 1984 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
MINNEAPOLIS, MN
Past
November 13, 1984 - April 26, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
SS
SIGNAL SECURITIES, INC.
SIGNAL SECURITIES, INC.
CRD#: 15916 / SEC#: 801-63630, 8-32948
RIA
Registered Investment Advisory firm - SEC (11/4/2004 Approved)Arizona
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)California
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (12/12/2001 Cancelled)Louisiana
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Michigan
Registered Investment Advisory firm - SEC (12/15/2004 Terminated)Missouri
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Texas
Registered Investment Advisory firm - SEC (9/16/2005 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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.RR
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
IAR
North Carolina(6/21/2022)
IAR
Texas(12/1/2006)
RR
Texas(12/5/2006)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SIGNAL SECURITIES, INC.
SIGNAL SECURITIES, INC.
CRD#: 15916 / SEC#: 801-63630, 8-32948
RIA
Registered Investment Advisory firm - SEC (11/4/2004 Approved)Arizona
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)California
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (12/12/2001 Cancelled)Louisiana
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Michigan
Registered Investment Advisory firm - SEC (12/15/2004 Terminated)Missouri
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)Texas
Registered Investment Advisory firm - SEC (9/16/2005 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (11/5/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
700 Throckmorton Street, Fort Worth, TX 76102
Mailing Address
700 Throckmorton Street, Fort Worth, TX 76102-5036
Phone number
(817) 877-4256
Established
Texas since 09/24/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
37
SEC notice filing (16 States and Territories)
FINRA licenses (45 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,832 |
| AUM (Assets Under Management) | $ 599,186,467 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
