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BB

Bruce J. Butler

D & D SECURITIES
Philadelphia, PA 19104
Some features on this profile are disabled
CRD#: 1568629
BB

Professional summary

Bruce Joseph Butler, who also goes by Bruce Butler, is a registered financial professional currently at D & D SECURITIES, INC. located in Philadelphia, Pennsylvania.

Bruce is registered as a RR (Registered Representative) and started their career in finance in 2008. Bruce has worked at 1 firm and has passed the Series 57TO, SIE and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bruce Butler

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) - BD

Click below to view Bruce 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®
None

Experience

Current

October 18, 2012 - Present

D & D SECURITIES, INC.

Office #1: 2929 Walnut Street 8th Floor, Philadelphia, PA 19104
BD
CRD#: 31470
Philadelphia, PA
Past

April 16, 2008 - August 31, 2010

D & D SECURITIES, INC.

BD
CRD#: 31470
PHILADELPHIA, PA

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

General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/10/2015
Registered Options Principal Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Nasdaq PHLX LLC

Current Firm

D&
D & D SECURITIES, INC.
D & D SECURITIES, INC. | D AND D SECURITIES

CRD#: 31470 / SEC#: , 8-44989

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
2929 Walnut Street 8th Floor, Philadelphia, PA 19104
Mailing Address
703 North Jerome Avenue, Margate City, NJ 08402
Phone number
(609) 226-7672
Established
Pennsylvania since 02/19/1991
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DICICCO, NICHOLAS GERALDPRESIDENT2321852
BUTLER, BRUCE JOSEPHVICE PRESIDENT, ON-FLOOR SUPERVISORY PRINCIPAL1568629
SCHEPPS, MARK HVICE PRESIDENT, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER2042034

Disclosures

Regulatory Event16

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

D & D SECURITIES, INC.

CRD#: 31470Philadelphia, PA 19104

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