Heath A. Butler
Professional summary
Heath Anthony Butler was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Heath is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Heath had worked at 3 firms, which includes SUNSTATE EQUITY TRADING, MARKET WISE SECURITIES LLC, PFS INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2000 - May 12, 2000
SUNSTATE EQUITY TRADING
March 15, 1999 - November 9, 1999
MARKET WISE SECURITIES, LLC
September 7, 1994 - August 15, 1996
PFS INVESTMENTS INC.
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
Series 7TO
Date: 6/10/2021
General Securities Representative ExaminationCurrent Firm
SUNSTATE EQUITY TRADING
CRD#: 43571 / SEC#: , 8-50317
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
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.
