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Mark A. Butler

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CRD#: 2237832
MB

Professional summary

Mark Allen Butler was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Mark is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Mark had worked at 5 firms, which includes IFMG SECURITIES INC., TCF INVESTMENTS INC., BANC ONE SECURITIES CORPORATION, WINGSPAN INVESTMENT SERVICES, ESSEX NATIONAL SECURITIES LLC.

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

November 30, 2006 - November 1, 2007

IFMG SECURITIES, INC.

BD
CRD#: 14416
CHICAGO, IL
Past

March 15, 2004 - December 31, 2006

TCF INVESTMENTS, INC.

BD
CRD#: 34954
LOMBARD, IL
Past

February 1, 1999 - September 26, 2003

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

March 22, 1996 - February 1, 1999

WINGSPAN INVESTMENT SERVICES

BD
CRD#: 17516
CHICAGO, IL
Past

July 8, 1992 - March 21, 1996

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA

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
RR
Series 63
Date: 6/6/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 7/6/1992
Investment Company Products/Variable Contracts Representative Examination

Current Firm

IS
IFMG SECURITIES, INC.
IFMG SECURITIES, INC. | TORCHMARK BROKERAGE SERVICES, INC. | LIBERTY SECURITIES CORPORATION

CRD#: 14416 / SEC#: , 8-30670

BD
Terminated by SEC on 11/09/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/03/1991
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LPL HOLDINGS, INC.PARENT COMPANY
ARNOLD, DAN HOGAN JRDIRECTOR, VICE PRESIDENT, SECRETARY2557410
MAHER, CHARLES WILLIAMDIRECTOR2085378
VANNOY-PINEDA, KATHLEEN DENISECHIEF COMPLIANCE OFFICER1347526

Disclosures

Regulatory Event5
Arbitration4

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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Company Information

IFMG SECURITIES, INC.

CRD#: 14416

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