Thomas J. 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.
Thomas J Butler III, who also goes by Jim Butler, Thomas James Butler III, Thomas James Butler, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2016 - March 12, 2020
MAXIMAI INVESTMENT PARTNERS, LLC
September 13, 2016 - June 26, 2017
INSIGNEO SECURITIES, LLC
October 20, 2004 - September 12, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 26, 1988 - September 12, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 18, 1986 - August 23, 1988
HSBC BROKERAGE (USA) INC.
Primary Firm SEC Registration
MAXIMAI INVESTMENT PARTNERS, LLC
CRD#: 284919 / SEC#: 801-108257
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
MAXIMAI INVESTMENT PARTNERS, LLC
CRD#: 284919 / SEC#: 801-108257
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 872 |
| AUM (Assets Under Management) | $ 538,675,000 |
Red Flags
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