Carl W. Busch
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.
Carl Wayne Busch was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1969. Carl had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 1, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2017 - July 20, 2017
TREE LINE CAPITAL, LLC
July 30, 2009 - May 8, 2017
WFG ADVISORS, LP
July 16, 2007 - September 30, 2009
CENTURY ADVISORS, LLC
June 29, 2007 - May 8, 2017
WFG INVESTMENTS, INC.
May 28, 2004 - July 26, 2007
HILLTOP SECURITIES INC.
May 28, 2004 - July 26, 2007
HILLTOP SECURITIES INC.
July 1, 2003 - June 2, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - June 2, 2004
WELLS FARGO CLEARING SERVICES, LLC
August 26, 1985 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 26, 1985 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 25, 1984 - September 13, 1985
E. F. HUTTON & COMPANY INC
January 31, 1980 - July 23, 1984
UBS FINANCIAL SERVICES INC.
June 7, 1974 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
September 22, 1969 - April 2, 1974
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 15
Date: 9/9/1983
Foreign Currency Options ExaminationSeries 5
Date: 2/4/1983
Interest Rate Options ExaminationSeries 1
Date: 9/19/1969
Registered Representative ExaminationSeries 8
Date: 10/15/1982
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TREE LINE CAPITAL, LLC
CRD#: 282456 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 120 |
| AUM (Assets Under Management) | $ 15,000,000 |
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.
