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Timothy Edward Butler

CRD# 2715511·Registered 1996 - 2012
Previously Registered: Being a previously registered professional could mean that Timothy 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.

Professional Summary

Timothy Edward Butler, who also goes by Tim Butler, Timothy Butler, was a registered financial advisor. Timothy was a previously registered financial professional and started their career in finance 1996 - 2012. Timothy had worked at 7 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Tim Butler, Timothy Butler

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

30 years in the financial services industry

Current & Past Employments

Past

OTKRITIE CAPITAL U.S. INC.Past·CRD# 155187
BD
New York, NY
June 13, 2011 - February 2, 2012
UNICREDIT CAPITAL MARKETS LLCPast·CRD# 7789
BD
New York, NY
August 21, 2007 - February 27, 2009
ATON SECURITIES, INC.Past·CRD# 100841
BD
New York, NY
April 3, 2006 - August 20, 2007
SBERBANK CIB USA, INC.Past·CRD# 47972
BD
New York, NY
March 22, 2004 - December 31, 2005
CREDIT AGRICOLE SECURITIES (USA) INC.Past·CRD# 190
BD
New York, NY
November 29, 2001 - March 8, 2004
CA IB SECURITIES (NEW YORK) INC.Past·CRD# 14851
BD
New York, NY
April 3, 1997 - July 31, 2001
TD AMERITRADE, INC.Past·CRD# 7870
BD
Omaha, NE
November 27, 1996 - March 18, 1997

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Current Firm

OC
OTKRITIE CAPITAL U.S. INC.

OTKRITIE CAPITAL U.S. INC. | OTKRITIE INC.

CRD#: 155187 / SEC#: 8-68704
BD
Terminated by SEC on 12/03/2017

Contact Information

Established

Delaware since 08/04/2010

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
OTKRITIE CAPITAL INTERNATIONAL LTDOWNER—
HOPKINS, THOMAS JOHNFINOP1835087
SNELL, HOWARD PETER MRDIRECTOR6866193
WEICHSEL, JEFFREY LOUISDIRECTOR, CCO5415479

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1997About the Series 63 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed May 2005

Series 7 — General Securities Representative Examination

Passed Nov 1996About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jul 1997About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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