Deron D. Swaby

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CRD#: 6437201

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.

Deron Darryl Swaby was a registered financial professional .

Deron is a previously registered financial professional and started their career in finance in 2015. Deron had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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. NAME OF OTHER BUSINESS: CANCER LEAGUE OF COLORADO FOUNDATION INVESTMENT RELATED: NO ADDRESS: PO BOX 5373 DENVER, CO 80237 NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 02/2023 POSITION/TITLE/RELATIONSHIP: SECRETARY APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: DOCUMENT BOARD MEETING AND CONTRIBUTE SOLICITED FEEDBACK REGARDING EVENTS AND STRATEGIES FOR THE FOUNDATION ONLY. 2. NAME OF OTHER BUSINESS: MBA FINANCIAL SERVICES, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 02/2024 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: FINANCIAL AND INVESTMENT ADVISING AND PLANNING

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

April 7, 2025 - September 16, 2025

BUTLER FINANCIAL SERVICES

RIA

CRD#: 118244

DENVER, CO

Past

February 9, 2024 - November 4, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

BOULDER, CO

Past

February 9, 2024 - November 4, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

BOULDER, CO

Past

December 12, 2018 - September 20, 2023

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Lone Tree, CO

Past

November 27, 2018 - September 20, 2023

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Lone Tree, CO

Past

November 15, 2017 - October 22, 2018

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

CRD#: 144464

DENVER, CO

Past

April 9, 2015 - October 23, 2017

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

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".

BUTLER FINANCIAL SERVICES

BUTLER FINANCIAL SERVICES | BUTLER FINANCIAL SERVICES, INC.

CRD#: 118244 / SEC#: 801-121286

RIA

Registered Investment Advisory firm - (6/30/2021 Approved)

California

Registered Investment Advisory firm - (7/31/2021 Terminated)

Colorado

Registered Investment Advisory firm - (7/19/2021 Terminated)

Massachusetts

Registered Investment Advisory firm - (12/18/2015 Terminated)

Texas

Registered Investment Advisory firm - (7/1/2021 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

IAR

Series 66

Date: 12/12/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/25/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/30/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/9/2015

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BUTLER FINANCIAL SERVICES

BUTLER FINANCIAL SERVICES | BUTLER FINANCIAL SERVICES, INC.

CRD#: 118244 / SEC#: 801-121286

RIA

Registered Investment Advisory firm - (6/30/2021 Approved)

California

Registered Investment Advisory firm - (7/31/2021 Terminated)

Colorado

Registered Investment Advisory firm - (7/19/2021 Terminated)

Massachusetts

Registered Investment Advisory firm - (12/18/2015 Terminated)

Texas

Registered Investment Advisory firm - (7/1/2021 Terminated)

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Contact information

Main Address

1001 Bannock St. Suite 212, Denver, CO 80204

Mailing Address

1200 Pearl St. Suite 314, Boulder, CO 80302

Phone number

(303) 444-3380

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BUTLER FINANCIAL SERVICES, INC. - ADV PART 2B MARK BUTLER (7/25/2025)

BUTLER FINANCIAL SERVICES, INC. - ADV PART 2B MIKYO BUTLER (7/25/2025)

BUTLER FINANCIAL SERVICES, INC. - ADV PART 2A (7/25/2025)

Regulatory assets under management

Total Number of Accounts	347
AUM (Assets Under Management)	$ 135,684,851

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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Firm Stability Insights

Deron D. Swaby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

TRANSAMERICA CAPITAL, LLC

Primary Firm SEC Registration

BUTLER FINANCIAL SERVICES

State Registrations and Notice Filings

Exams

Series 66

Date: 12/12/2018

Series 63

Date: 2/25/2016

SIE

Date: 10/1/2018

Series 7

Date: 11/30/2017

Series 6

Date: 4/9/2015

Current Firm

BUTLER FINANCIAL SERVICES

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BUTLER FINANCIAL SERVICES

TRUST BUT VERIFY

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