Thomas W. Butch
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 W Butch, who also goes by Thomas William Butch, Tom Butch, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1996. Thomas had worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 6, Series 24 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
September 28, 2018 - March 17, 2022
TD AMERITRADE, INC.
April 7, 2003 - January 16, 2018
IVY DISTRIBUTORS, INC.
March 6, 2000 - January 16, 2018
WADDELL & REED
January 1, 1998 - November 2, 1999
BOFA DISTRIBUTORS, INC.
March 19, 1996 - January 1, 1998
IFMG SECURITIES, 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: 3/25/2024
General Securities Representative ExaminationCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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