Ross E. 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.
Ross E. Butler was a registered financial professional .
Ross is a previously registered financial professional and started their career in finance in 2001. Ross had worked at 4 firms and has passed the Series 66 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
March 21, 2006 - December 31, 2025
WHEELER & MOTE, LLC
March 14, 2003 - December 13, 2012
SYNDICATED CAPITAL, INC.
June 3, 2002 - June 4, 2003
DEL MONTE GROUP, LLC
July 19, 2001 - February 25, 2003
SECURITIES AMERICA, 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
Current Firm
WHEELER & MOTE, LLC
CRD#: 115312 / SEC#:
Contact information
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.
