Raymond W. Butti

PGIM INVESTMENTS LLC

Guilford, CT 06437

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CRD#: 4053122

Professional summary

Raymond W Butti, CIMA®, who also goes by Raymond William Butti, is a registered financial advisor currently at PGIM INVESTMENTS LLC located in Guilford, Connecticut and PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Cohasset, Massachusetts.

Raymond is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Raymond has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Raymond William Butti

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

B&H CHARTERS POSITION: owner NATURE: Boat Charter INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 08/22/2023 ADDRESS: 30 Cricket trail, Guilford CT 06437, United States DESCRIPTION: oversee LLC operations (Maintenance /Chartering). B&H CHARTERS POSITION: owner NATURE: Boat Charter INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 08/22/2023 ADDRESS: 30 Cricket trail, Guilford CT 06437, United States DESCRIPTION: oversee LLC operations (Maintenance /Chartering).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond W Butti's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

Experience

Current

February 16, 2018 - Present

PGIM INVESTMENTS LLC

Office #1: 30 Cricket Trail, Guilford, CT 06437

RIA

CRD#: 105670

Guilford, CT

Current

May 26, 2017 - Present

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

COHASSET, MA

Past

October 16, 2006 - May 4, 2017

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

CHICAGO, IL

Past

May 26, 2006 - May 4, 2017

BLACKROCK FINANCIAL MANAGEMENT, INC

RIA

CRD#: 107105

Chicao, IL

Past

July 18, 2005 - May 31, 2006

BLACKROCK CAPITAL MANAGEMENT, INC.

RIA

CRD#: 108069

CHERRY HILL, NJ

Past

August 17, 2000 - October 18, 2006

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

CRD#: 17580

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PGIM INVESTMENTS LLC

PGIM INVESTMENTS LLC | PRUDENTIAL INVESTMENTS LLC | PRUDENTIAL INVESTMENTS FUND MANAGEMENT LLC

CRD#: 105670 / SEC#: 801-31104

RIA

Registered Investment Advisory firm - (12/31/1987 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(10/7/2022)

Connecticut
(5/26/2017)

IAR

Connecticut
(2/16/2018)

Florida
(2/5/2019)

Massachusetts
(5/26/2017)

Missouri
(5/21/2025)

New York
(6/5/2017)

Rhode Island
(5/26/2017)

Vermont
(1/17/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/17/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/17/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/17/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/16/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

PGIM INVESTMENTS LLC

PGIM INVESTMENTS LLC | PRUDENTIAL INVESTMENTS LLC | PRUDENTIAL INVESTMENTS FUND MANAGEMENT LLC

CRD#: 105670 / SEC#: 801-31104

RIA

Registered Investment Advisory firm - (12/31/1987 Approved)

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Contact information

Main Address

655 Broad Street, Newark, NJ 07102

Mailing Address

Phone number

(973) 802-9908

Established

Firm type

Fiscal year end

# of Employees

490

SEC notice filing (51 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

PGIM INVESTMENTS LLC (3/26/2025)

Regulatory assets under management

Total Number of Accounts	196
AUM (Assets Under Management)	$ 322,085,635,448

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.

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Firm Stability Insights

Raymond W. Butti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond W Butti's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BLACKROCK INVESTMENTS, LLC

BLACKROCK FINANCIAL MANAGEMENT, INC

BLACKROCK CAPITAL MANAGEMENT, INC.

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

PGIM INVESTMENTS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/17/2005

Series 63

Date: 11/17/2000

SIE

Date: 10/1/2018

Series 7

Date: 7/17/2003

Series 6

Date: 8/16/2000

FINRA

Current Firm

PGIM INVESTMENTS LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PGIM INVESTMENTS LLC

TRUST BUT VERIFY

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