Colin P. 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.
Colin Patrick Butler was a registered financial professional .
Colin is a previously registered financial professional and started their career in finance in 2002. Colin had worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2018 - August 11, 2021
LIQUIDITY.IO, LLC
December 19, 2012 - October 7, 2015
B. RILEY & CO., LLC
August 30, 2002 - December 14, 2012
CARIS & COMPANY, 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 7TO
Date: 1/9/2024
General Securities Representative ExaminationSeries 55
Date: 10/10/2002
Limited Representative-Equity Trader ExamCurrent Firm
LIQUIDITY.IO, LLC
CRD#: 289499 / SEC#: , 8-70000
Contact information
FINRA licenses (52 States and Territories)
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.
