James W. Butler
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.
James William Butler was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1955. James had worked at 8 firms and has passed the Series 63, Series 1, F04 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
October 11, 1994 - October 12, 2004
AEGIS INVESTMENTS, INC.
February 5, 1993 - August 23, 1994
KENNEDY, MATHEWS, LANDIS, HEALY & PECORA, INCORPORATED
January 26, 1979 - January 4, 1993
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
November 30, 1977 - February 5, 1979
NOBLE SECURITIES CO.
December 30, 1974 - February 16, 1979
MARGOLIS & CO., INC.
September 25, 1973 - January 5, 1975
MILLER JOHNSON STEICHEN KINNARD, INC.
August 28, 1972 - October 7, 1973
THE MARSHALL COMPANY, INC.
January 28, 1955 - September 25, 1972
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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 1
Date: 10/28/1955
Registered Representative ExaminationF04
Date: 4/18/1974
Financial Principal ExaminationSeries 00
Date: 2/21/1974
General Securities Principal ExaminationCurrent Firm
AEGIS INVESTMENTS, INC.
CRD#: 16033 / SEC#: , 8-33137
Contact information
FINRA licenses (5 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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