Davis S. 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.
Davis Smith Butler, who also goes by Davis Butler, was a registered financial professional .
Davis is a previously registered financial professional and started their career in finance in 1990. Davis had worked at 4 firms and has passed the Series 63, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 1995 - February 2, 2000
BRAVER STERN SECURITIES LLC
April 12, 1993 - January 10, 1995
THE CITADEL FUNDING CORPORATION
October 1, 1991 - March 9, 1995
KESSLER & COMPANY INVESTMENTS, INC.
March 29, 1990 - September 5, 1991
J.P. MORGAN SECURITIES LLC
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
BRAVER STERN SECURITIES LLC
CRD#: 29108 / SEC#: 801-79168, 8-43611
Contact information
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
