Thomas E. 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.
Thomas Edmond Butler was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 11 firms and has passed the Series 63, SIE, Series 3 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
June 25, 2021 - November 15, 2022
MAREX CAPITAL MARKETS INC.
May 14, 2018 - May 17, 2021
MKM PARTNERS LLC
December 3, 2015 - June 7, 2017
NEW ALBION PARTNERS LLC
February 18, 2014 - November 24, 2015
IMPERIAL CAPITAL, LLC
December 5, 2011 - February 6, 2014
WEDBUSH SECURITIES INC.
September 4, 2009 - November 11, 2011
B. RILEY SECURITIES, INC.
February 25, 2008 - August 31, 2009
CAPSTONE GLOBAL MARKETS, LLC
November 15, 2002 - March 3, 2008
SUSQUEHANNA FINANCIAL GROUP, LLLP
January 30, 2002 - October 7, 2002
KBC SECURITIES USA LLC
December 10, 1998 - January 9, 2002
BANC OF AMERICA SECURITIES LLC
November 16, 1993 - November 13, 1998
ABN AMRO SECURITIES LLC
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
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
Red Flags
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