Frederick W. 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.
Frederick William Butler, who also goes by Fred William Butler, Frederick William Butler Jr, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1992. Frederick had worked at 8 firms and has passed the Series 66, Series 63, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2011 - December 20, 2012
ALLSTATE FINANCIAL ADVISORS, LLC
August 25, 2011 - December 20, 2012
ALLSTATE FINANCIAL SERVICES, LLC
November 3, 2005 - December 8, 2009
CUNA BROKERAGE SERVICES, INC.
September 8, 2005 - December 8, 2009
CUNA BROKERAGE SERVICES, INC.
January 17, 2002 - September 2, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
November 2, 2001 - January 25, 2002
CUNA BROKERAGE SERVICES, INC.
March 24, 1995 - October 19, 2001
HSBC BROKERAGE (USA) INC.
April 5, 1994 - March 9, 1995
FLEET ENTERPRISES, INC.
April 12, 1993 - March 31, 1994
PRUCO SECURITIES, LLC.
October 16, 1992 - January 22, 1993
ROYCE INVESTMENT GROUP, INC.
Primary Firm SEC Registration
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
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
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
Contact information
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 82,015,793 |
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.
