Alexander Edward Butters | Financial Professional

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.

Alexander Edward Butters, who also goes by Alex Butters, was a registered financial professional .

Alexander is a previously registered financial professional and started their career in finance in 2013. Alexander had worked at 4 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Alex Butters

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.

1. Advanced Regulatory Compliance-Investment related-415 N Camden Drive, Beverly Hills, CA 90210-Regulatory Compliance Consultant-4/2016-160 hrs/mth-100% during trading hrs-Provides advice pertinent to securities regulations and audits branches. 2. PKSA. Investment Related. 18 Corporate Woods Blvd, Albany, NY 12211. Maintenance of Advisory License for Credibility in Conducting Audits. Consultant. 06/2016. 2 Hrs/Mo; 2 During Trading Hours. I Have No Clients and Engage in No Advisory Business. My Affiliation with PKS-A is Solely Based on Compliance Services.

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

June 17, 2016 - June 21, 2023

PKS ADVISORY SERVICES, LLC

RIA

CRD#: 125648

SANTA MONICA, CA

Past

May 20, 2016 - June 21, 2023

PURSHE KAPLAN STERLING INVESTMENTS

BD

CRD#: 35747

ALBANY, NY

Past

February 10, 2015 - April 19, 2016

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

El Segundo, CA

Past

February 10, 2015 - April 19, 2016

NATIONAL PLANNING CORPORATION

BD

CRD#: 29604

El Segundo, CA

Past

April 2, 2013 - February 5, 2015

NATIONS FINANCIAL GROUP, INC.

RIA

CRD#: 44181

CEDAR RAPIDS, IA

Past

February 28, 2013 - February 5, 2015

NATIONS FINANCIAL GROUP, INC.

BD

CRD#: 44181

CEDAR RAPIDS, IA

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".

PA

PKS ADVISORY SERVICES, LLC

CRD#: 125648 / SEC#: 801-62147

RIA

Registered Investment Advisory firm - (6/20/2003 Approved)

New York

Registered Investment Advisory firm - (6/20/2003 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.

Visual representation of state registrations

This advisor is not registered in any state.

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

RR

IAR

Series 66

Date: 4/1/2013

Uniform Combined State Law Examination

General Industry/Product Exam

RR

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 2/26/2013

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 5/17/2013

General Securities Principal Examination

Current Firm

PA

PKS ADVISORY SERVICES, LLC

CRD#: 125648 / SEC#: 801-62147

RIA

Registered Investment Advisory firm - (6/20/2003 Approved)

New York

Registered Investment Advisory firm - (6/20/2003 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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

80 State Street, Albany, NY 12207

Mailing Address

Phone number

(518) 426-5791

Established

Firm type

Fiscal year end

# of Employees

49

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	4,419
AUM (Assets Under Management)	$ 905,367,391

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.

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Alexander E. Butters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

NATIONS FINANCIAL GROUP, INC.

NATIONS FINANCIAL GROUP, INC.

Primary Firm SEC Registration

PKS ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/1/2013

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/26/2013

Series 24

Date: 5/17/2013

Current Firm

PKS ADVISORY SERVICES, LLC

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PKS ADVISORY SERVICES, LLC

TRUST BUT VERIFY

Similar Advisors