Duane 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.
Duane Edward Butler, who also goes by Duane Butler, was a registered financial professional .
Duane is a previously registered financial professional and started their career in finance in 2004. Duane had worked at 3 firms and has passed the Series 66, SIE 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
August 27, 2008 - May 6, 2015
FIRST CLEARING, LLC
February 10, 2006 - May 13, 2008
CITIGROUP GLOBAL MARKETS INC.
September 2, 2004 - February 16, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 30, 2004 - February 16, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST CLEARING, LLC
CRD#: 17344 / SEC#: , 8-35158
Contact information
Documents
Disclosures
| Regulatory Event | 34 |
| Arbitration | 2 |
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.
