Timothy 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.
Timothy Edward Butler, who also goes by Tim Butler, Timothy Butler, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1996. Timothy had worked at 7 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2011 - February 2, 2012
OTKRITIE CAPITAL U.S. INC.
August 21, 2007 - February 27, 2009
UNICREDIT CAPITAL MARKETS LLC
April 3, 2006 - August 20, 2007
ATON SECURITIES, INC.
March 22, 2004 - December 31, 2005
SBERBANK CIB USA, INC.
November 29, 2001 - March 8, 2004
CREDIT AGRICOLE SECURITIES (USA) INC.
April 3, 1997 - July 31, 2001
CA IB SECURITIES (NEW YORK) INC.
November 27, 1996 - March 18, 1997
TD AMERITRADE, 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 55
Date: 5/31/2005
Limited Representative-Equity Trader ExamCurrent Firm
OTKRITIE CAPITAL U.S. INC.
CRD#: 155187 / SEC#: , 8-68704
Contact information
Documents
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.
