Michael James Butler
CFAProfessional Summary
Michael James Butler, CFA is a registered financial advisor currently at COOPER FINANCIAL SERVICES, INC. located in Shelton, Connecticut and CFS SECURITIES, INC. located in Shelton, Connecticut. Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Michael has worked at 2 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Credentials
Years of Experience
11 years in the financial services industry
Current & Past Employments
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Current Firm
COOPER FINANCIAL SERVICES INC | COOPER FINANCIAL SERVICES, INC.
Contact Information
Main Address
1000 Bridgeport Avenue Suite 308, Shelton, CT 06484Phone Number
(203) 248-1972# of Employees
3SEC notice filing (6 States and Territories)
Registered to provide investment advisory services in 6 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
1,576AUM (Assets Under Management)
$184,105,399Similar Advisors
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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.
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Primary Firm SEC Registration
COOPER FINANCIAL SERVICES INC | COOPER FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
(10/13/2016)
(11/8/2018)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 2015About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jan 2016About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Michael James Butler's CRS (Customer Relationship Summary).
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