Charles W. Butt
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.
Charles W Butt, who also goes by Charles Walter Butt, Charles Butt, Chuck Butt, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1999. Charles had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2016 - May 25, 2018
EDWARD JONES
September 28, 2016 - May 25, 2018
EDWARD JONES
October 30, 2007 - September 17, 2012
WELLS FARGO CLEARING SERVICES, LLC
October 25, 2007 - October 25, 2007
WELLS FARGO CLEARING SERVICES, LLC
October 25, 2007 - September 17, 2012
WELLS FARGO CLEARING SERVICES, LLC
November 7, 2005 - October 24, 2007
TRUIST INVESTMENT SERVICES, INC.
November 7, 2005 - October 24, 2007
TRUIST INVESTMENT SERVICES, INC.
July 14, 2004 - June 16, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 14, 2004 - June 16, 2005
WELLS FARGO CLEARING SERVICES, LLC
March 22, 2004 - June 18, 2004
MSI FINANCIAL SERVICES, INC.
March 4, 2004 - June 18, 2004
METROPOLITAN LIFE INSURANCE COMPANY
March 4, 2004 - June 18, 2004
MSI FINANCIAL SERVICES, INC.
January 1, 2003 - December 12, 2003
BACAP DISTRIBUTORS, LLC
July 25, 2001 - January 1, 2003
STEPHENS
October 1, 2000 - April 19, 2001
WELLS FARGO CLEARING SERVICES, LLC
June 17, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
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
Current Firm
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 157 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
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.
