William B. 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 Brian Butler was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1988. William had worked at 5 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2007 - August 9, 2007
MF GLOBAL INC.
May 14, 1999 - May 24, 2005
DEUTSCHE BANK SECURITIES INC.
October 24, 1996 - February 26, 1998
CIBC WORLD MARKETS CORP.
June 12, 1990 - November 8, 1993
FINANCIAL SQUARE PARTNERS
October 6, 1988 - November 28, 1988
DAIWA CAPITAL MARKETS AMERICA 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
MF GLOBAL INC.
CRD#: 6731 / SEC#: , 8-18104
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MF GLOBAL HOLDING USA INC | SHAREHOLDER | |
| ABELOW, BRADLEY IRA | DIRECTOR AND EVP | 1983124 |
| CORZINE, JON STEVENS | PRESIDENT AND CEO | 811812 |
| FERBER, LAURIE RUTH | DIRECTOR | 1687254 |
| FORLENZA, PETER CHARLES | SENIOR VICE PRESIDENT | 2366985 |
| LOWERY-WHILLE, TRACY ANN | CHIEF COMPLIANCE OFFICER AND SVP | 2872693 |
| MACDONALD, JOHN RANALD | DIRECTOR AND EVP | 2540475 |
| SERWINSKI, CHRISTINE ANN | CFO & FINOP & SVP | 4169392 |
Disclosures
| Regulatory Event | 37 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
