William J. Butcher
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.
William Joseph Butcher was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1969. William had worked at 9 firms and has passed the Series 65, Series 63, PC, Series 7, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2009 - July 8, 2009
MORGAN STANLEY
June 1, 2009 - July 8, 2009
MORGAN STANLEY
March 27, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
March 27, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
January 1, 2008 - April 1, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - April 1, 2008
WELLS FARGO CLEARING SERVICES, LLC
April 4, 1996 - January 1, 2008
A. G. EDWARDS & SONS, INC.
October 10, 1988 - January 3, 2008
A. G. EDWARDS & SONS, INC.
August 1, 1985 - October 6, 1988
PIPER SANDLER & CO.
April 27, 1982 - August 5, 1985
BOETTCHER & COMPANY, INC.
April 1, 1980 - April 26, 1982
SUTRO & CO. INCORPORATED
November 8, 1972 - April 24, 1980
INTERPACIFIC INVESTORS SERVICES, INC.
November 3, 1969 - February 2, 1973
BECKMANN CALDWELL & KNOWLTON
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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
PC
Date: 6/21/1980
AMEX Put and Call ExamSeries 1
Date: 3/17/1969
Registered Representative ExaminationSeries 00
Date: 8/9/1973
General Securities Principal ExaminationCurrent Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
