Thomas A. Butterfield
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 Alan Butterfield, who also goes by Thomas A Butterfield, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 6 firms and has passed the Series 63 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
May 16, 1996 - October 23, 1997
ROAN CAPITAL PARTNERS L.P.
January 29, 1990 - April 29, 1996
JOSEPHTHAL & CO., INC.
February 22, 1989 - February 17, 1990
WELLSHIRE SECURITIES, INC.
September 28, 1988 - February 28, 1989
POWER SECURITIES CORPORATION
May 24, 1988 - October 13, 1988
HIBBARD BROWN & CO., INC.
June 26, 1987 - May 28, 1988
SHERWOOD CAPITAL, 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
ROAN CAPITAL PARTNERS L.P.
CRD#: 33063 / SEC#: , 8-46169
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 5 |
Red Flags
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