Ross E. Butler

WHEELER & MOTE

ALAMO, CA

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CRD#: 4374564

Professional summary

Ross E. Butler is a registered financial advisor currently at WHEELER & MOTE, LLC located in Alamo, California.

Ross is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Ross has worked at 4 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

I AM AN INDEPENDENT CONTRACTOR FOR WYMAC CAPITAL, INC. WYMAC IS A MORTGAGE BROKER WHO FACILITATES MORTGAGES FOR MY CLIENT BASE. BECAUSE I DO FINANCIAL PLANNING WITH MY CLIENTS, I ADD VALUE TO THEIR FINANCIAL FUTURE BY PARTIALLY PROCESSING THEIR LOANS. I SPEND ABOUT 45 MINUTES TO AN HOUR EVERY TWO TO THREE DAYS IN FILLING OUT THEIR PAPERWORK. I HAVE DONE BUSINESS WITH WYMAC FOR OVER TWO YEARS NOW. THIS BUSINESS TRANSACTION IS NOT INVESTMENT RELATED. WYMAC'S ADDRESS IS: WYMAC CAPITAL, INC. 1500 NEWELL 2ND FLOOR WALNUT CREEK, CA 94596

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ross E. Butler'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®

None

Experience

Current

March 21, 2006 - Present

WHEELER & MOTE, LLC

RIA

CRD#: 115312

ALAMO, CA

Past

March 14, 2003 - December 13, 2012

SYNDICATED CAPITAL, INC.

CRD#: 29037

DIAMOND BAR, CA

Past

June 3, 2002 - June 4, 2003

DEL MONTE GROUP, LLC

RIA

CRD#: 106669

DANVILLE, CA

Past

July 19, 2001 - February 25, 2003

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

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.

Highlighted states indicate IAR registrations

IAR

California
(3/21/2006)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/15/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 7/18/2001

General Securities Representative Examination

Current Firm

WHEELER & MOTE, LLC

WEALTH & RETIREMENT STRATEGIES | WILLIAM ANSEL MOTE, JR. | WHEELER & MOTE, LLC

CRD#: 115312 / SEC#:

California

Registered Investment Advisory firm - (3/21/2006 Approved)

Florida

Registered Investment Advisory firm - (9/26/2005 Approved)

Louisiana

Registered Investment Advisory firm - (12/31/2001 Failure to Renew)

Mississippi

Registered Investment Advisory firm - (11/29/2007 Terminated)

North Carolina

Registered Investment Advisory firm - (11/29/2007 Terminated)

Texas

Registered Investment Advisory firm - (3/24/2006 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Mount Dora, FL

Mailing Address

Phone number

(352) 383-3597

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	13
AUM (Assets Under Management)	$ 1,211,850

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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Ross E. Butler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ross E. Butler's CRS (Customer Relationship Summary).

Certified licenses

Experience

WHEELER & MOTE, LLC

SYNDICATED CAPITAL, INC.

DEL MONTE GROUP, LLC

SECURITIES AMERICA, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/15/2001

Series 7

Date: 7/18/2001

Current Firm

WHEELER & MOTE, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WHEELER & MOTE, LLC

TRUST BUT VERIFY

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