Wallace Butterworth
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.
Wallace Butterworth was a registered financial professional .
Wallace is a previously registered financial professional and started their career in finance in 1981. Wallace had worked at 13 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 1999 - October 19, 2001
RUSSIAN RIVER FINANCIAL SERVICES, INC.
May 19, 1995 - December 6, 1999
OAK TREE SECURITIES, INC.
March 15, 1994 - June 14, 1995
WALNUT STREET SECURITIES, INC.
October 13, 1992 - March 18, 1994
SECURITIES RESOURCE GROUP, LTD.
April 24, 1992 - October 13, 1992
G. R. PHELPS & CO., INC.
June 27, 1991 - May 12, 1992
FFP SECURITIES, INC.
November 22, 1989 - July 10, 1991
OSAIC FS, INC.
September 28, 1987 - January 10, 1990
MURRAY WILT BANTIT, INC.
March 21, 1986 - May 22, 1986
AVANTI ASSOCIATES FINANCIAL SERVICES, INC.
September 23, 1985 - March 12, 1986
UBS FINANCIAL SERVICES INC.
June 3, 1985 - September 27, 1985
SECURITIES NETWORK, INC.
January 5, 1982 - May 23, 1985
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
April 13, 1981 - January 12, 1982
SOUTHMARK FINANCIAL SERVICES, 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
Current Firm
RUSSIAN RIVER FINANCIAL SERVICES, INC.
CRD#: 41794 / SEC#: , 8-49574
Contact information
Documents
Disclosures
| Civil Event | 2 |
| Arbitration | 1 |
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.
