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SB

Steven G. Butler

COOPER FINANCIAL SERVICES
Shelton, CT 06484
Some features on this profile are disabled
CRD#: 7410569
SB

Professional summary

Steven Gregory Butler, who also goes by Steven G Butler, is a registered financial advisor currently at COOPER FINANCIAL SERVICES, INC. located in Shelton, Connecticut and CFS SECURITIES, INC. located in Shelton, Connecticut.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Steven has worked at 2 firms and has passed the Series 65, Series 63, Series 99TO, Series 6TO, SIE, Series 28 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Steven G Butler

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.
COOPER FINANCIAL SERVICES, INC., INVESTMENT RELATED, 1000 BRIDGEPORT AVENUE, SUITE 308, SHELTON, CT 06484, 05/2019 START DATE, 160 HOURS / MONTH, ALL DURING TRADING HOURS, VICE-PRESIDENT, FINANCIAL ADVISOR.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Gregory 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

December 3, 2021 - Present

COOPER FINANCIAL SERVICES, INC.

Office #1: 1000 Bridgeport Avenue Suite 308, Shelton, CT 06484
RIA
CRD#: 104671
Shelton, CT
Current

September 30, 2021 - Present

CFS SECURITIES, INC.

Office #1: 1000 Bridgeport Avenue Suite 308, Shelton, CT 06484
BD
CRD#: 46201
Shelton, CT

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".
CF
COOPER FINANCIAL SERVICES, INC.
COOPER FINANCIAL SERVICES INC | COOPER FINANCIAL SERVICES, INC.

CRD#: 104671 / SEC#: 801-24288

RIA
Registered Investment Advisory firm - (5/15/1985 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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
California
(11/3/2025)
RR
Connecticut
(10/26/2021)
IAR
Connecticut
(12/3/2021)
RR
Florida
(11/3/2025)
RR
Massachusetts
(11/3/2025)
RR
New Hampshire
(8/8/2025)
IAR
New Hampshire
(8/12/2025)
IAR
New Jersey
(8/11/2025)
RR
New Jersey
(11/3/2025)
IAR
New York
(8/8/2025)
RR
New York
(11/3/2025)
IAR
Vermont
(8/8/2025)
RR
Vermont
(11/3/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/3/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/4/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 7/13/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 6TO
Date: 9/30/2021
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/21/2021
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 28
Date: 4/28/2022
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 10/25/2021
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CF
COOPER FINANCIAL SERVICES, INC.
COOPER FINANCIAL SERVICES INC | COOPER FINANCIAL SERVICES, INC.

CRD#: 104671 / SEC#: 801-24288

RIA
Registered Investment Advisory firm - (5/15/1985 Approved)
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Contact information

Main Address
1000 Bridgeport Avenue Suite 308, Shelton, CT 06484
Mailing Address
Phone number
(203) 248-1972
Established
Firm type
Fiscal year end
# of Employees
2

SEC notice filing (9 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

COOPER FINANCIAL SERVICES, INC. 06/25/2025 (6/25/2025)

Regulatory assets under management

Total Number of Accounts1,637
AUM (Assets Under Management)$ 195,592,113

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

COOPER FINANCIAL SERVICES, INC.

CRD#: 104671Shelton, CT 06484

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