Peter B. 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.
Peter Bede Butler, who also goes by Peter Butler, was a registered financial advisor .
Peter is a previously registered financial advisor and started their career in finance in 1990. Peter had worked at 4 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
April 7, 2008 - November 9, 2009
THOMAS GROUP CAPITAL
February 15, 2007 - August 8, 2007
NATIONAL SECURITIES CORPORATION
November 26, 2002 - May 30, 2006
THOMAS GROUP CAPITAL
October 18, 2002 - December 9, 2002
CITIGROUP GLOBAL MARKETS INC.
March 25, 1997 - December 9, 2002
CITIGROUP GLOBAL MARKETS INC.
July 30, 1990 - March 25, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
THOMAS GROUP CAPITAL
CRD#: 112901 / SEC#: , 8-53273
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THOMAS GROUP CAPITAL, LLC | DIRECT OWNER | |
| BORBONE, THOMAS | PRESIDENT/CEO/CCO | 1713376 |
Disclosures
| Regulatory Event | 5 |
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.
