John J. Butler

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CRD#: 2689182

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.

John Jude Butler, who also goes by John Butler, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1996. John had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John Butler

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.

American Family Home Ins Co;American Southern Home Ins Co 103217;Centauri Specialty Ins Co;Charter Oak Fire Ins Co;Edison Ins Co;Florida Peninsula Ins Co;Foremost Ins Co;Heritage Property & Casualty Ins Co;Metropolitan Casualty Ins Co;Metropolitan Prop &Casualty;Phoenix Ins Co 100639;Progressive American Ins Co;Progressive Express Ins Co;Safe Harbor Ins Co;Security First Ins Co;Security Nat'l Ins Co;Southern Fidelity Ins Co;St Johns Ins Co Inc 200940;St. Paul Fire & Marine Ins Co;The Standard Fire Ins Co;Travelers Casualty &Surety Co Of America;Travelers Casualty Ins Co Of America;Travelers Home &Marine Ins Co The;Travelers Indem Co;Travelers Indem Co Of Am;Travelers Indem Co Of Conn|Travelers Prop Cas Co Of Amer;United Property & Casualty Ins Co Inc 105105;Universal Ins Co Of North America 201117;Windhaven Ins Co BUTLER INSURANCE GROUP, LLC POSITION: Owner NATURE: OBA for P&C INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2018 ADDRESS: 3087 NW Blitchton Rd, Ocala FL 34475, United States DESCRIPTION: I own and operate a Property & Casualty insurance agency

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®

CRD#: 14251

OCALA, FL

Past

April 11, 2000 - April 5, 2004

TRANS SECURITIES INCORPORATED

CRD#: 102140

NORWALK, CT

Past

July 23, 1996 - October 16, 1997

MERIT CAPITAL ASSOCIATES, INC.

CRD#: 30576

WESTPORT, CT

Past

January 1, 1996 - July 16, 1996

TRANSCAPITAL SECURITIES, INC.

CRD#: 10642

DEERFIELD, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PRUCO SECURITIES, LLC.

PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC

CRD#: 5685 / SEC#: 801-52208, 8-16402

RIA

Registered Investment Advisory firm - SEC (6/28/1996 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/16/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/23/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/28/2000

General Securities Principal Examination

Current Firm

PRUCO SECURITIES, LLC.

PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC

CRD#: 5685 / SEC#: 801-52208, 8-16402

RIA

Registered Investment Advisory firm - SEC (6/28/1996 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

751 Broad Street, Newark, NJ 07102-3777

Mailing Address

751 Broad Street, Newark, NJ 07102-3777

Phone number

(973) 802-6000

Established

New Jersey since 09/22/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

387

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PRUCO SECURITIES, LLC (3/25/2025)

Direct owners and executive officers

Name	Position	CRD#
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA	SOLE MEMBER
FELICIANO, DEXTER MICHAEL	PRESIDENT	5483537
FLORIO, KELLY NICOLE	ANTI-MONEY LAUNDERING OFFICER	6446272
FONTANO, ANTHONY MICHAEL	ELECTED MANAGER	6852155
HYNES, PATRICK LIAM	CHAIRMAN, ELECTED MANAGER	2748918
PATEL, PARANJ	CHIEF COMPLIANCE OFFICER	4235738
SMIT, ROBERT PHILIP	CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER	2332366
THOMSEN, JORDAN KARSTEN	CHIEF LEGAL OFFICER	2821664

Disclosures

Regulatory Event	30
Arbitration	13
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/27/2025	Cover Page	Report
12/22/2023	Cover Page	Report
12/22/2023	Cover Page	Report

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.

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John J. Butler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRUCO SECURITIES, LLC.

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

OSAIC FS, INC.

OSAIC FS, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

TRANS SECURITIES INCORPORATED

MERIT CAPITAL ASSOCIATES, INC.

TRANSCAPITAL SECURITIES, INC.

Primary Firm SEC Registration

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/16/2009

Series 63

Date: 7/23/2009

SIE

Date: 10/1/2018

Series 7

Date: 3/19/2009

Series 24

Date: 2/28/2000

Current Firm

PRUCO SECURITIES, LLC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PRUCO SECURITIES, LLC.

TRUST BUT VERIFY

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