Hal Butts
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.
Hal Butts, who also goes by Hal Butts Jr., was a registered financial professional .
Hal is a previously registered financial professional and started their career in finance in 2000. Hal had worked at 6 firms and has passed the Series 28 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2006 - January 31, 2007
THOMAS GROUP CAPITAL
March 10, 2004 - June 9, 2004
RTA INVESTMENTS COMPANY
February 3, 2004 - April 20, 2006
THE MALACHI GROUP, INC.
November 11, 2003 - February 18, 2004
RTA INVESTMENTS COMPANY
October 26, 2001 - February 25, 2002
JACKSON SHANKLIN & SONIA SECURITIES, LLC
October 2, 2001 - October 2, 2003
FALLBROOK CAPITAL SECURITIES CORP.
October 2, 2001 - July 13, 2007
JOHNSON CAPITAL, L L C
January 21, 2000 - June 20, 2002
THE MALACHI GROUP, 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 28
Date: 1/12/2000
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
THOMAS GROUP CAPITAL
CRD#: 112901 / SEC#: , 8-53273
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THOMAS GROUP CAPITAL, LLC | DIRECT OWNER | |
| BORBONE, THOMAS | PRESIDENT/CEO/CCO | 1713376 |
Disclosures
| Regulatory Event | 5 |
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.
