CB
Christopher D. Butcher
LPL ENTERPRISE
COLUMBUS, OH 43219
Some features on this profile are disabled
CRD#: 5036873
CB
Professional summary
Christopher Duke Butcher, who also goes by Chris Duke Butcher, Christopher Duke Butcher, Christopher Butcher, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Columbus, Ohio.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Christopher has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris Duke Butcher | Christopher Duke Butcher | Christopher Butcher
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.
**CNB Insurance Agency Inc, FC Bank Position: Registered Investment Representative Nature: CNB Insurance Agency Inc, FC Bank Investment Related: Yes Hours: 30 Securities Trading Hours: 40 Start Date: 04/01/2019 Address: 6600 N. High Street, Worthington OH 43085 **Otterbein Alumni Council Position: Board Member Nature: Otterbein Alumni Council Investment Related: No Hours: 5 Securities Trading Hours: 3 Start Date: 08/19/2016 Address: 1 Grove St., Westerville OH 43081 **Butcher Memorial Golf Outing Position: President Nature: Butcher Memorial Golf Outing Investment Related: No Hours: 5 Securities Trading Hours: 1 Start Date: 08/21/2004 Address: 1001 Bluesail Dr, Westerville OH 43081 **CNB Insurance Agency Inc, FC Bank Position: Registered Investment Representative Nature: CNB Insurance Agency Inc, FC Bank Investment Related: Yes Hours: 30 Securities Trading Hours: 40 Start Date: 04/01/2019 Address: 6600 N. High Street, Worthington OH 43085 **FC Wealth Advisors - DBA **WEALTH MANAGEMENT VIA BANK TRUST DEPARTMENT POSITION: Wealth Manager NATURE: Wealth Management services via 1865 Wealth Advisors a division of CNB Bank providing wealth management and financial planning services in coordination with Firm's Trust Department. These services are separate from relationship with Securities America, INC as a registered representative. INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 30 START DATE: 01/04/2023 ADDRESS: 6600 N. High St, Worthington OH 43085, United States DESCRIPTION: Provide wealth management and financial planning services via the bank's trust department.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Duke Butcher's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Duke Butcher'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®
NoneExperience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: One Easton Oval Suite 550, Columbus, OH 43219RIA
BD
CRD#: 8733
COLUMBUS, OH
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: One Easton Oval Suite 550, Columbus, OH 43219RIA
BD
CRD#: 8733
COLUMBUS, OH
Past
September 11, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
COLUMBUS, OH
Past
September 11, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
COLUMBUS, OH
Past
May 3, 2024 - September 17, 2024
W&S BROKERAGE SERVICES, INC.
BD
CRD#: 8099
ZANESVILLE, OH
Past
April 16, 2019 - April 23, 2024
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
WORTHINGTON, OH
Past
April 16, 2019 - April 23, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
CLEARFIELD, PA
Past
October 27, 2011 - April 4, 2019
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
Dublin, OH
Past
October 17, 2011 - April 4, 2019
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
Dublin, OH
Past
December 1, 2005 - October 3, 2011
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
UPPER ARLINGTON, OH
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Colorado(11/14/2024)
RR
Ohio(11/14/2024)
IAR
Ohio(11/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
