Monty L. Butts
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.
Monty Lee Butts was a registered financial professional .
Monty is a previously registered financial professional and started their career in finance in 1988. Monty had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 1991 - February 2, 2024
CAPITAL ADVISORS, INC.
June 8, 1988 - October 2, 2017
MINSHALL & COMPANY INC.
January 20, 1988 - April 28, 1988
BOK FINANCIAL SECURITIES, INC.
Primary Firm SEC Registration
CAPITAL ADVISORS, INC.
CRD#: 104643 / SEC#: 801-14050
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
CAPITAL ADVISORS, INC.
CRD#: 104643 / SEC#: 801-14050
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,297 |
| AUM (Assets Under Management) | $ 6,146,880,645 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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