Michael W. Butler

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CRD#: 3013107

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.

Michael William Butler, who also goes by Michael W Butler, Mike Butler, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael W Butler | Mike 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)

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®

None

Experience

Past

June 5, 2025 - August 28, 2025

ASCENSUS INVESTMENT ADVISORS, LLC

RIA

CRD#: 120632

Garden City, NY

Past

February 24, 2025 - August 28, 2025

ASCENSUS BROKER DEALER SERVICES, LLC

CRD#: 36478

NEWTON, MA

Past

November 19, 2014 - February 5, 2025

NATIONWIDE INVESTMENT ADVISORS, LLC

RIA

CRD#: 142373

COLUMBUS, OH

Past

July 1, 2013 - February 5, 2025

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

May 8, 2012 - June 7, 2013

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

JERSEY CITY, NJ

Past

March 22, 2001 - September 28, 2011

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

February 16, 2000 - August 8, 2000

ALIGHT FINANCIAL SOLUTIONS, LLC

CRD#: 36509

CHICAGO, IL

Past

August 24, 1998 - August 26, 1999

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

HARRISON, NY

Past

April 21, 1998 - June 8, 1998

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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".

ASCENSUS INVESTMENT ADVISORS, LLC

ASCENSUS INVESTMENT ADVISORS, LLC | UPROMISE INVESTMENT ADVISORS, LLC

CRD#: 120632 / SEC#: 801-61492

RIA

Registered Investment Advisory firm - (9/27/2002 Approved)

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: 2/18/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/20/1998

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: 7/11/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/20/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ASCENSUS INVESTMENT ADVISORS, LLC

ASCENSUS INVESTMENT ADVISORS, LLC | UPROMISE INVESTMENT ADVISORS, LLC

CRD#: 120632 / SEC#: 801-61492

RIA

Registered Investment Advisory firm - (9/27/2002 Approved)

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Contact information

Main Address

95 Wells Avenue Suite 160, Newton, MA 02459

Mailing Address

Phone number

(617) 454-6400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (48 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (10/20/2025)

Regulatory assets under management

Total Number of Accounts	43
AUM (Assets Under Management)	$ 11,649,896,048

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/29/2024	Cover Page	Report
01/30/2024	Cover Page	Report
01/26/2023	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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Firm Stability Insights

Michael W. Butler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ASCENSUS BROKER DEALER SERVICES, LLC

NATIONWIDE INVESTMENT ADVISORS, LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

EQUITABLE DISTRIBUTORS, LLC

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

ALIGHT FINANCIAL SOLUTIONS, LLC

TRANSAMERICA INVESTORS SECURITIES, LLC

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

ASCENSUS INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/18/2015

Series 63

Date: 4/20/1998

SIE

Date: 10/1/2018

Series 7

Date: 7/11/2007

Series 6

Date: 4/20/1998

Current Firm

ASCENSUS INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ASCENSUS INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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