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Dennis E. Butler

Some features on this profile are disabled
CRD#: 4491587
DB

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.

Dennis Edward Butler, who also goes by E Dennis Butler, was a registered financial professional .

Dennis is a previously registered financial professional and started their career in finance in 2002. Dennis had worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

E Dennis Butler

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 23, 2013 - June 11, 2019

PHX FINANCIAL, INC.

BD
CRD#: 144403
NEW YORK, NY
Past

May 14, 2013 - September 12, 2013

ROCKWELL SECURITIES LLC

BD
CRD#: 142483
NEW YORK, NY
Past

December 4, 2012 - April 25, 2013

JOHN THOMAS FINANCIAL

BD
CRD#: 40982
NEW YORK, NY
Past

September 23, 2010 - November 30, 2012

LEGEND SECURITIES, INC.

BD
CRD#: 44952
NEW YORK, NY
Past

March 16, 2010 - September 22, 2010

GARDEN STATE SECURITIES, INC.

BD
CRD#: 10083
NEW YORK, NY
Past

January 29, 2010 - March 15, 2010

CHARLES MORGAN SECURITIES, INC.

BD
CRD#: 138887
NEW YORK, NY
Past

January 21, 2009 - December 23, 2009

AVALON PARTNERS, INC.

BD
CRD#: 41357
NEW YORK, NY
Past

November 10, 2008 - January 2, 2009

GRANTA CAPITAL GROUP LLC

BD
CRD#: 114657
NEW YORK, NY
Past

September 18, 2008 - October 8, 2008

JOHN THOMAS FINANCIAL

BD
CRD#: 40982
NEW YORK, NY
Past

July 31, 2008 - September 12, 2008

SPARTAN CAPITAL SECURITIES, LLC

BD
CRD#: 146251
NEW YORK, NY
Past

July 23, 2007 - January 16, 2008

MCBARRON CAPITAL LLC

BD
CRD#: 131431
GREENWICH, CT
Past

December 19, 2006 - April 2, 2007

LEGEND MERCHANT GROUP, INC.

BD
CRD#: 5155
NEW YORK, NY
Past

January 6, 2006 - December 15, 2006

GRANTA CAPITAL GROUP LLC

BD
CRD#: 114657
NEW YORK, NY
Past

July 24, 2003 - January 13, 2006

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

January 11, 2002 - February 27, 2002

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/30/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/10/2002
General Securities Representative Examination

Current Firm

PF
PHX FINANCIAL, INC.
BLACKWALL CAPITAL MARKETS, INC. | PHX FINANCIAL, INC. | PHOENIX FINANCIAL SERVICES | GRANDVIEW CAPITAL, INC.

CRD#: 144403 / SEC#: , 8-67653

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
100 Wall Street Floor 10, New York, NY 10005
Mailing Address
100 Wall Street Floor 10, New York, NY 10005
Phone number
(212) 776-4187
Established
Florida since 12/27/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PHOENIX FINANCIAL CONSOLIDATED HOLDINGS, LPPARENT OF BROKER DEALER
CHEN, KEVINCEO4871316
GILMAN, ROBERT CRAIGFINOP - PFO1738412
MONTANA, JOSEPH RYANROSFP, MSRB PRINCIPAL5640919
OTOYA, DANIEL ORLANDOCHIEF COMPLIANCE OFFICER2208241

Disclosures

Regulatory Event4
Arbitration2

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.

Company Information

PHX FINANCIAL, INC.

CRD#: 144403

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