Charles K. Butler

SEQUENTIS CAPITAL LLC

Boston, MA 02108

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CRD#: 2761367

Professional summary

Charles Kingston Butler III, who also goes by Chuck Butler, is a registered financial advisor currently at SEQUENTIS CAPITAL LLC located in Boston, Massachusetts.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Charles has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chuck 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Kingston Butler III's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 13, 2020 - Present

SEQUENTIS CAPITAL LLC

Office #1: One Boston Place 201 Washington St 26th Floor, Boston, MA 02108

RIA

CRD#: 298533

Boston, MA

Past

March 5, 2020 - September 15, 2020

VISION 4 FUND DISTRIBUTORS

CRD#: 298105

SCOTTSDALE, AZ

Past

April 26, 2016 - February 15, 2018

ADVISORS ASSET MANAGEMENT, INC.

RIA

CRD#: 46727

MILTON, MA

Past

August 28, 2015 - February 15, 2018

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

MONUMENT, CO

Past

November 17, 2009 - August 3, 2015

TSC DISTRIBUTORS, LLC

CRD#: 37058

BOSTON, MA

Past

February 4, 2009 - July 27, 2009

AXCELUS FINANCIAL DISTRIBUTION COMPANY

CRD#: 38383

PHILADELPHIA, PA

Past

December 20, 2006 - February 4, 2009

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

November 1, 1996 - July 28, 2005

EATON VANCE DISTRIBUTORS, INC.

CRD#: 37731

BOSTON, MA

Past

July 9, 1996 - November 1, 1996

EATON VANCE DISTRIBUTORS, INC.

CRD#: 8039

BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(10/13/2020)

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: 3/31/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/8/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/15/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/25/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/8/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SEQUENTIS CAPITAL LLC

CRD#: 298533 / SEC#: 801-114148

RIA

Registered Investment Advisory firm - (8/7/2019 Terminated)

Massachusetts

Registered Investment Advisory firm - (6/24/2019 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

One Boston Place 201 Washington St 26th Floor, Boston, MA 02108

Mailing Address

Phone number

(617) 419-7133

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	145
AUM (Assets Under Management)	$ 87,669,381

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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Advisor Monitoring

Firm Stability Insights

Charles K. Butler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Kingston Butler III's CRS (Customer Relationship Summary).

Certified licenses

Experience

VISION 4 FUND DISTRIBUTORS

ADVISORS ASSET MANAGEMENT, INC.

ADVISORS ASSET MANAGEMENT, INC.

TSC DISTRIBUTORS, LLC

AXCELUS FINANCIAL DISTRIBUTION COMPANY

VP DISTRIBUTORS LLC

EATON VANCE DISTRIBUTORS, INC.

EATON VANCE DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/31/2016

Series 63

Date: 7/8/1996

SIE

Date: 2/15/2018

Series 7

Date: 2/25/2003

Series 6

Date: 7/8/1996

Current Firm

SEQUENTIS CAPITAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SEQUENTIS CAPITAL LLC

TRUST BUT VERIFY

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