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Steven C. Butz

Some features on this profile are disabled
CRD#: 2213840
SB

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.

Steven Craig Butz was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1992. Steven had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 28, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 6, 2014 - December 5, 2016

VERITY INVESTMENTS, INC.

BD
CRD#: 41527
DURHAM, NC
Past

December 6, 2013 - December 5, 2016

VERITY ASSET MANAGEMENT

RIA
CRD#: 158667
DURHAM, NC
Past

January 26, 2007 - June 23, 2008

1717 CAPITAL MANAGEMENT COMPANY

RIA
CRD#: 4082
NEWARK, DE
Past

October 24, 2006 - June 23, 2008

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
NEWARK, DE
Past

October 24, 2006 - June 23, 2008

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082
NEWARK, DE
Past

June 21, 1999 - February 18, 2005

WILMINGTON BROKERAGE SERVICES COMPANY

RIA
CRD#: 14942
WILMINGTON, DE
Past

March 2, 1995 - February 18, 2005

WILMINGTON BROKERAGE SERVICES COMPANY

BD
CRD#: 14942
WILMINGTON, DE
Past

March 16, 1992 - February 27, 1995

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/2/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/1/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/5/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 11/22/2004
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/13/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 2/28/2014
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 2/4/2014
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/17/1997
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/16/1996
General Securities Principal Examination

Current Firm

VI
VERITY INVESTMENTS, INC.
BROKERAGE360 | VERITY INVESTMENTS, INC.

CRD#: 41527 / SEC#: , 8-49474

BD
Terminated by SEC on 02/15/2026
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Contact information

Main Address
Mailing Address
Phone number
Established
North Carolina since 06/27/2011
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
VERITY FINANCIAL GROUP, INC.PARENT COMPANY
MUNSEY, JEFF ALANVICE PRESIDENT2777033
SIMONSON, AMY LOUISEVICE PRESIDENT/ PRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER2326511
WEGWART, GORDON THOMASPRESIDENT/EXECUTIVE REP/CHIEF COMPLIANCE OFFICER1108685

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.

Company Information

VERITY INVESTMENTS, INC.

CRD#: 41527

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