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AB

Austin T. Butler

INVESTMENT SECURITY
Salt Lake City, UT 84121
Some features on this profile are disabled
CRD#: 6501923
AB

Professional summary

Austin Thomas Butler is a registered financial professional currently at INVESTMENT SECURITY CORPORATION located in Salt Lake City, Utah.

Austin is registered as a RR (Registered Representative) and started their career in finance in 2015. Austin has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Austin Thomas Butler's CRS (Customer Relationship Summary).
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®
None

Experience

Current

June 10, 2015 - Present

INVESTMENT SECURITY CORPORATION

Office #1: 7240 S Highland Dr Suite 103, Salt Lake City, UT 84121
BD
CRD#: 47536
Salt Lake City, UT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Arizona
(10/11/2017)
RR
California
(6/29/2015)
RR
Nevada
(4/7/2025)
RR
Utah
(6/29/2015)
RR
Virginia
(3/27/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 6/27/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/10/2015
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

IS
INVESTMENT SECURITY CORPORATION
INVESTMENT SECURITY CORPORATION

CRD#: 47536 / SEC#: , 8-51832

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
24009 Ventura Blvd., Suite 101, Calabasas, CA 91302
Mailing Address
24009 Ventura Blvd., Suite 101, Calabasas, CA 91302
Phone number
(818) 225-9529
Established
California since 01/19/1999
Firm type
Corporation
Fiscal year end
November
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LEACH, RICHARD ALANPRESIDENT AND CHIEF COMPLIANCE OFFICER1846766
LANE, NICOLE S.FINANCIAL AND OPERATIONS PRINCIPAL5811589
LUBIN, LEE DAVIDGENERAL COUNSEL4303526

Disclosures

Regulatory Event3

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.

Company Information

INVESTMENT SECURITY CORPORATION

CRD#: 47536Salt Lake City, UT 84121

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