Raymond Butterworth

OSAIC WEALTH

Wyomissing, PA 19610

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CRD#: 1626430

Professional summary

Raymond Butterworth is a registered financial advisor currently at OSAIC WEALTH, INC. located in Wyomissing, Pennsylvania.

Raymond is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Raymond has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1) LAW OFFICES OF RAYMOND BUTTERWORTH; NON-INVESTMENT RELATED; 1105 BERKSHIRE BLVD WYOMISSING PA 19610; OWNER; STARTED 10/1993; 12 HRS/MTH; 10 HRS/MTH DURING ST HOURS; ESTATE PLANNING, PREPARE WILLS, TRUSTS, POA'S, SETTLE ESTATES. 2) RAYMONG BUTTERWORTH; NON-INVESTMENT RELATED; 1105 BERKSHIRE BLVD WYOMISSING PA 19610; TAX PREPARER; STARTED 1993; 10 HRS/MTH; 10 HRS/MTH DURING ST HOURS; PREP INCOME TAX RETURNS. 3) BUTTERWORTH FINANCIAL SERVICES; INVESTMENT RELATED; 1105 BERKSHIRE BLVD WYOMISSING PA 19610; STATUTORY AGENT; STARTED 1986; 80 HRS/MTH; 80 HRS/MTH DURING ST HOURS; PROVIDE FIXED RATE ANNUITIES, LIFE INSURANCE SALES. 4) BENT CREEK HOA POSITION: Board Member - NATURE: Non-Profit - INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2010 ADDRESS: Bent Creek Drive Lititz, PA 17543, DESCRIPTION: Attend board meetings. Review and approve budget and expenditures. 5) CECELIA BUTTERWORTH REVOCABLE LOIVING TRUST POSITION: trustee (successor) NATURE: My mother, Cecelia Butterworth, passed away on 7/18/24. I was appointed successor trustee under her revocable living trust. The trust assets include a mutual fund, annuity, bank account and primary residence. Total assets approximately $500,000. INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 4 START DATE: 09/09/2024 ADDRESS: 625 gooseneck drive, lititz PA 17543, United States DESCRIPTION: Successor trustee, gather assets, satisfy obligations and ultimately liquidate trust. I expect the trust to be liquidated shortly after the residence is sold.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond Butterworth's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Raymond Butterworth's CRS (Customer Relationship Summary).

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

August 12, 2019 - Present

OSAIC WEALTH, INC.

Office #1: 1105 Berkshire Blvd, Wyomissing, PA 19610Office #2: 101 North Broad Street Second Fl, Lititz, PA 17543

RIA

CRD#: 23131

Wyomissing, PA

Current

November 29, 2006 - Present

OSAIC WEALTH, INC.

Office #1: 1105 Berkshire Blvd, Wyomissing, PA 19610Office #2: 101 North Broad Street Second Fl, Lititz, PA 17543

RIA

CRD#: 23131

Wyomissing, PA

Past

September 8, 2004 - June 30, 2020

INVESTMENT ADVISORS ASSET MANAGEMENT, LLC

RIA

CRD#: 128716

EASTON, PA

Past

January 8, 1992 - December 4, 2006

INVESTMENT ADVISORS & CONSULTANTS, INC.

CRD#: 7996

WYOMISSING, PA

Past

October 30, 1990 - January 20, 1992

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, MD

Past

April 23, 1987 - November 6, 1990

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(1/10/2018)

IAR

Alabama
(8/14/2019)

California
(11/29/2006)

Delaware
(11/29/2006)

District of Columbia
(6/28/2024)

Florida
(11/29/2006)

IAR

Florida
(8/15/2019)

Hawaii
(11/5/2024)

Indiana
(10/4/2019)

Maryland
(11/29/2006)

IAR

Maryland
(8/14/2019)

Massachusetts
(1/11/2018)

Minnesota
(9/29/2017)

IAR

Minnesota
(8/14/2019)

Nevada
(5/24/2016)

New Hampshire
(1/11/2018)

New Jersey
(11/29/2006)

IAR

New Jersey
(8/14/2019)

New York
(11/29/2006)

North Carolina
(11/29/2006)

Oregon
(9/2/2020)

Pennsylvania
(11/29/2006)

IAR

Pennsylvania
(8/12/2019)

South Carolina
(1/16/2014)

Texas
(1/22/2014)

IAR

Texas
(8/14/2019)

Virginia
(11/29/2006)

Washington
(11/29/2006)

Wisconsin
(9/14/2018)

IAR

Wisconsin
(8/14/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 4/21/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/15/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/21/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/12/2004

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 8/20/1998

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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.

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Raymond Butterworth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond Butterworth's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Raymond Butterworth's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

INVESTMENT ADVISORS ASSET MANAGEMENT, LLC

INVESTMENT ADVISORS & CONSULTANTS, INC.

THE ADVISORS GROUP, INC.

EQUITY SERVICES, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/21/1987

SIE

Date: 10/1/2018

Series 7

Date: 1/15/2004

Series 6

Date: 4/21/1987

Series 24

Date: 2/12/2004

Series 26

Date: 8/20/1998

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

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