WB
Williams K. Butcher
INDEPENDENT FINANCIAL GROUP
Kemah, TX
Some features on this profile are disabled
CRD#: 2098675
WB
Professional summary
Williams Keen Butcher, who also goes by Keen Butcher, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Kemah, Texas.
Williams is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Williams has worked at 13 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 86, Series 87, Series 79, Series 7, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Keen Butcher
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) BUTCHER FINANCIAL, LLC POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 01/04/2010 ADDRESS: 5701 Woodway Drive #330, Houston TX 77057, United States DESCRIPTION: DBA for marketing purposes. (2) BUTCHER FINANCIAL, LLC POSITION: Agent/Representative NATURE: Referral Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 8 START DATE: 06/01/2010 ADDRESS: 5701 Woodway Drive #330, Houston TX 77057, United States DESCRIPTION: Newsletter sales (3) T/U/D OF MADELEINE K BUTCHER, CHARITABLE FOUNDATION POSITION: Officer/Director NATURE: Acting as a POA, Trustee, Executor. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/03/2005 ADDRESS: 2110 Park Ave, Kemah TX 77565, United States DESCRIPTION: Investing decisions & charitable allocation decisions. (4) MARGARET KEEN BUTCHER TRUST POSITION: Trustee NATURE: Acting as a POA, Trustee, Executor. INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 01/03/2005 ADDRESS: 2110 Park Avenue, Kemah TX 77565, United States DESCRIPTION: Trustee/Beneficiary of Trust. (5) WW KEEN TRUST POSITION: co-Trustee NATURE: Acting as a POA, Trustee, Executor. If you have questions, please call a Compliance Officer). INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 01/03/2005 ADDRESS: 2110 Park Avenue, Kemah TX 77565, United States DESCRIPTION: Trustee/Beneficiary of Trust. (6) HOWARD BUTCHER, JR TRUST POSITION: Trustee NATURE: Acting as a POA, Trustee, Executor. INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 01/03/2005 ADDRESS: 2110 Park Ave, Kemah TX 77565, United States DESCRIPTION: Trustee/Beneficiary of Trust. (7) RENTAL PROPERTY POSITION: Landlord. My wife owns the property and it is her income. NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2021 ADDRESS: 329 Park Ave, Kemah TX 77565, United States DESCRIPTION: Rental property.
CRS (Client Relationship Summary) - RIA
Click below to view Williams Keen Butcher's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Williams Keen Butcher's 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®
NoneExperience
Current
May 3, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Kemah, TX
Current
May 3, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
RIA
BD
CRD#: 7717
Kemah, TX
Past
January 12, 2016 - May 31, 2022
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 144426
KEMAH, TX
Past
June 16, 2015 - December 31, 2015
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 144426
HOUSTON, TX
Past
April 20, 2015 - May 31, 2022
INTERNATIONAL ASSETS ADVISORY, LLC
BD
CRD#: 10645
KEMAH, TX
Past
November 11, 2011 - February 23, 2015
COURTLANDT SECURITIES CORPORATION
BD
CRD#: 137356
HOUSTON, TX
Past
September 4, 2008 - January 5, 2010
TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC
BD
CRD#: 129772
HOUSTON, TX
Past
October 11, 2002 - January 23, 2008
CITIZENS JMP SECURITIES, LLC
BD
CRD#: 22208
SAN FRANCISCO, CA
Past
April 6, 1999 - January 18, 2001
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
September 1, 1998 - November 4, 1998
ROBERTSON STEPHENS, INC.
BD
CRD#: 41271
SAN FRANCISCO, CA
Past
January 23, 1998 - September 1, 1998
BANCAMERICA SECURITIES, INC.
BD
CRD#: 17977
SAN FRANCISCO, CA
Past
December 11, 1995 - January 13, 1998
CMS INVESTMENT RESOURCES, LLC
BD
CRD#: 10102
WYNNEWOOD, PA
Past
November 11, 1993 - April 19, 1994
FOLEY MUFSON HOWE & COMPANY
BD
CRD#: 29993
Past
August 27, 1993 - September 20, 1993
RAUSCHER PIERCE REFSNES, INC.
BD
CRD#: 6663
DALLAS, TX
Past
October 29, 1990 - July 14, 1992
RYAN & COMPANY, LP
BD
CRD#: 21669
WEST CONSHOHOCKEN, PA
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".
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles 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.RR
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
RR
California(5/3/2022)
RR
North Carolina(5/31/2022)
RR
South Carolina(5/3/2022)
RR
Texas(5/3/2022)
IAR
Texas(5/3/2022)
RR
Washington(5/3/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Mailing Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Phone number
(858) 436-3180
Established
Delaware since 07/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
622
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 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.
