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Thomas L. Butts

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CRD#: 1546012
TB

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.

Thomas Lane Butts III was a registered financial advisor .

Thomas is a previously registered financial advisor and started their career in finance in 1986. Thomas had worked at 14 firms and has passed the Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 11, 2014 - July 8, 2014

SOUTHEAST INVESTMENTS, N.C., INC.

BD
CRD#: 43035
CHARLOTTE, NC
Past

July 14, 2009 - April 16, 2014

J. W. COLE ADVISORS, INC.

RIA
CRD#: 112294
MOBILE, AL
Past

June 8, 2009 - April 16, 2014

J.W. COLE FINANCIAL, INC.

BD
CRD#: 124583
MOBILE, AL
Past

July 9, 2008 - May 19, 2009

QUESTAR ASSET MANAGEMENT, INC.

RIA
CRD#: 133358
MINNEAPOLIS, MN
Past

December 1, 2006 - May 15, 2009

QUESTAR CAPITAL CORPORATION

BD
CRD#: 43100
MOBILE, AL
Past

May 17, 2006 - December 1, 2006

USALLIANZ SECURITIES, INC.

BD
CRD#: 40875
MOBILE, AL
Past

December 6, 2005 - March 6, 2006

FSC SECURITIES CORPORATION

BD
CRD#: 7461
MOBILE, AL
Past

September 17, 2002 - April 1, 2005

PAN-AMERICAN INVESTMENT ADVISERS, INC.

RIA
CRD#: 111107
MOBILE, AL
Past

March 7, 2002 - November 30, 2005

PAN-AMERICAN FINANCIAL ADVISERS

BD
CRD#: 15578
NEW ORLEANS, LA
Past

August 25, 2000 - March 6, 2002

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

October 16, 1990 - January 9, 2001

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY
Past

January 24, 1990 - August 15, 1990

WALL STREET SOUTH, INC.

BD
CRD#: 25039
Past

July 17, 1989 - October 4, 1989

SECURITIES SERVICE NETWORK, LLC

BD
CRD#: 13318
KNOXVILLE, TN
Past

January 19, 1988 - July 10, 1989

FSC SECURITIES CORPORATION

BD
CRD#: 7461
Past

October 22, 1986 - December 18, 1987

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/27/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/29/1989
General Securities Principal Examination

Current Firm

SI
SOUTHEAST INVESTMENTS, N.C., INC.
SOUTHEAST INVESTMENTS N.A., INC. | SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035 / SEC#: , 8-50127

Florida
Registered Investment Advisory firm - SEC (11/7/2019 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (3/31/2016 Terminated)
South Carolina
Registered Investment Advisory firm - SEC (1/6/2012 Approved)
Texas
Registered Investment Advisory firm - SEC (12/16/2015 Terminated)
Virginia
Registered Investment Advisory firm - SEC (12/21/2015 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
820 Tyvola Road-suite 104 Suite 104, Charlotte, NC 28217-3528
Mailing Address
820 Tyvola Road-suite 104, Charlotte, NC 28217
Phone number
(704) 527-7873
Established
North Carolina since 12/06/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
2

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
BLACK, JONATHAN HARRISONPRESIDENT/CEO/CCO/FINOP4975641
PLEXICO, RONALD DAVID JRPRINCIPAL2122340

Disclosures

Regulatory Event3
Arbitration3

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.

Company Information

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

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