Barry M. Butera
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.
Barry Michael Butera was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1986. Barry had worked at 2 firms and has passed the Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 1992 - December 15, 1995
HANOVER INVESTMENT SECURITIES, INC.
September 27, 1986 - January 8, 1992
PFS INVESTMENTS INC.
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
Current Firm
HANOVER INVESTMENT SECURITIES, INC.
CRD#: 10983 / SEC#: , 8-29011
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLMEYER, BERNARD JOHN JR | CHAIRMAN, JOINT OWNERSHIP WITH PCW/SEC/TREAS/CFO | 713211 |
| WELLMEYER, BERNARD JOHN JR | CHIEF COMPLIANCE OFFICER | 713211 |
| WELLMEYER, PHYLLIS CANTRELL | JOINT WITH BJW/STOCK HOLDER | |
| COTTON, DEBORAH ANN | PRESIDENT | 1614217 |
| STUCKENSCHNEIDER, KENNETH LEO | STOCK HOLDER/JOINT OWNER WITH RMS | 438988 |
| STUCKENSCHNEIDER, ROSE M | STOCK HOLDER/JOINT OWNER WITH KLS |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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