Eric P. Butler

EASTSOUND CAPITAL ADVISORS

Broomfield, CO

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CRD#: 4754442

Professional summary

Eric Paul Butler, who also goes by Eric P Butler, Eric Paul Butler, is a registered financial advisor currently at EASTSOUND CAPITAL ADVISORS, LLC located in Broomfield, Colorado.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Eric has worked at 12 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Eric P Butler | Eric Paul 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.

- Mr. Buter is an independent insurance agent for multiple agencies. In this role he transacts in insurance products including annuities and spends approximately 20 hours a month in this endeavor.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Paul Butler's CRS (Customer Relationship Summary).

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

June 27, 2024 - Present

EASTSOUND CAPITAL ADVISORS, LLC

RIA

CRD#: 160180

Broomfield, CO

Past

April 17, 2024 - August 27, 2024

TACTIVE ADVISORS, LLC

RIA

CRD#: 309311

Broomfield, CO

Past

November 14, 2023 - August 19, 2024

DIGITAL WEALTH PARTNERS

RIA

CRD#: 328627

BROOMFIELD, CO

Past

December 14, 2021 - November 7, 2023

APO FINANCIAL SERVICES, LLC

RIA

CRD#: 297647

WESTMINSTER, CO

Past

October 24, 2020 - December 13, 2021

FIDUCIARY INVESTMENT TRUSTS, LLC

RIA

CRD#: 296964

Denver, CO

Past

September 29, 2017 - November 5, 2020

STADION MONEY MANAGEMENT, LLC

RIA

CRD#: 112608

broomfield, CO

Past

September 14, 2017 - October 29, 2020

ALPS DISTRIBUTORS, INC.

CRD#: 16853

DENVER, CO

Past

June 28, 2017 - August 22, 2017

TRUTORO

CRD#: 169291

CONWAY, AR

Past

March 5, 2015 - July 2, 2015

HATTERAS CAPITAL DISTRIBUTORS, LLC

CRD#: 143365

RALEIGH, NC

Past

October 27, 2014 - February 11, 2015

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

MONUMENT, CO

Past

June 27, 2008 - November 13, 2014

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

May 10, 2004 - December 31, 2004

WORLD GROUP SECURITIES, INC.

CRD#: 114473

DULUTH, GA

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".

EASTSOUND CAPITAL ADVISORS, LLC

CRD#: 160180 / SEC#: 801-129635

RIA

Registered Investment Advisory firm - (3/8/2024 Approved)

California

Registered Investment Advisory firm - (4/24/2024 Terminated)

Colorado

Registered Investment Advisory firm - (3/27/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (3/28/2024 Terminated)

Massachusetts

Registered Investment Advisory firm - (3/25/2024 Terminated)

Michigan

Registered Investment Advisory firm - (2/23/2023 Terminated)

Texas

Registered Investment Advisory firm - (3/25/2024 Terminated)

Washington

Registered Investment Advisory firm - (4/25/2024 Terminated)

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).

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

Colorado
(6/27/2024)

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: 9/29/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/12/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/8/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/18/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/26/2008

Investment Company Products/Variable Contracts Representative Examination

Current Firm

EASTSOUND CAPITAL ADVISORS, LLC

CRD#: 160180 / SEC#: 801-129635

RIA

Registered Investment Advisory firm - (3/8/2024 Approved)

California

Registered Investment Advisory firm - (4/24/2024 Terminated)

Colorado

Registered Investment Advisory firm - (3/27/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (3/28/2024 Terminated)

Massachusetts

Registered Investment Advisory firm - (3/25/2024 Terminated)

Michigan

Registered Investment Advisory firm - (2/23/2023 Terminated)

Texas

Registered Investment Advisory firm - (3/25/2024 Terminated)

Washington

Registered Investment Advisory firm - (4/25/2024 Terminated)

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Contact information

Main Address

Eastsound, WA

Mailing Address

Phone number

(360) 317-4688

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2A 2B BROCHURE EASTSOUND J PIETSCH 10.25 (10/24/2025)

2B BROCHURE HUME 9.25V1 (9/12/2025)

2B BROCHURE BUTLER 7.25 (7/22/2025)

2B BROCHURE SYLER 6.25 (6/26/2025)

2B BROCHURE TAYLAN 6.25 (6/26/2025)

2B BROCHURE HANNA 3.24 (3/21/2025)

Regulatory assets under management

Total Number of Accounts	450
AUM (Assets Under Management)	$ 167,704,000

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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Advisor Monitoring

Firm Stability Insights

Eric P. Butler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Paul Butler's CRS (Customer Relationship Summary).

Certified licenses

Experience

TACTIVE ADVISORS, LLC

DIGITAL WEALTH PARTNERS

APO FINANCIAL SERVICES, LLC

FIDUCIARY INVESTMENT TRUSTS, LLC

STADION MONEY MANAGEMENT, LLC

ALPS DISTRIBUTORS, INC.

TRUTORO

HATTERAS CAPITAL DISTRIBUTORS, LLC

ADVISORS ASSET MANAGEMENT, INC.

TRANSAMERICA CAPITAL, LLC

WORLD GROUP SECURITIES, INC.

Primary Firm SEC Registration

EASTSOUND CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/29/2017

Series 63

Date: 12/12/2010

Series 7TO

Date: 5/8/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/18/2015

Series 6

Date: 6/26/2008

Current Firm

EASTSOUND CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EASTSOUND CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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