David J. Butler
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.
David John Butler was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2020. David had worked at 3 firms and has passed the Series 63, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2022 - July 21, 2023
PENN SECURITIES LLC
June 11, 2020 - December 20, 2021
GT SECURITIES, INC.
January 27, 2020 - June 10, 2020
M&A SECURITIES GROUP, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/27/2020
Investment Banking Registered Representative ExaminationCurrent Firm
PENN SECURITIES LLC
CRD#: 315065 / SEC#: , 8-70735
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AHMAD, ABID NMN | CHIEF COMPLIANCE OFFICER, CEO, PFO, POO, FINOP | 7215583 |
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.
