Dennis C. Butterfield

LIFEMARK SECURITIES

Windham, NH

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CRD#: 819354

Professional summary

Dennis Charles Butterfield, who also goes by Dennis C Butterfield, is a registered financial advisor currently at LIFEMARK SECURITIES CORP. located in Windham, New Hampshire.

Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. Dennis has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dennis C Butterfield

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. Independent Insurance Agent, INVST RELATED, 65 West Shore Road, WINDHAM, NH 03087, SALES & SERVICE OF LIFE, DIS INSURANCE & ANNUITIES, 20 HOURS PER WEEK, STARTED 05/1974

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Charles Butterfield's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Dennis Charles Butterfield'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

October 23, 2018 - Present

LIFEMARK SECURITIES CORP.

RIA

CRD#: 16204

Windham, NH

Current

October 23, 2018 - Present

LIFEMARK SECURITIES CORP.

RIA

CRD#: 16204

Windham, NH

Past

April 14, 2011 - October 24, 2018

FORESTERS EQUITY SERVICES, INC.

RIA

CRD#: 18464

WINDHAM, NH

Past

October 19, 2010 - October 24, 2018

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

SAN DIEGO, CA

Past

August 1, 2008 - August 4, 2010

NATIONWIDE SECURITIES, LLC

RIA

CRD#: 11173

WINDHAM, NH

Past

August 1, 2008 - August 4, 2010

NATIONWIDE SECURITIES, LLC

CRD#: 11173

WINDHAM, NH

Past

January 14, 2004 - August 1, 2008

1717 CAPITAL MANAGEMENT COMPANY

RIA

CRD#: 4082

WINDHAM, NH

Past

January 29, 2003 - August 1, 2008

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

WINDHAM, NH

Past

July 11, 2002 - December 31, 2002

MUTUAL SERVICE CORPORATION

RIA

CRD#: 4806

WINDHAM, NH

Past

October 6, 1997 - December 31, 2002

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

January 13, 1997 - October 7, 1997

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

January 23, 1995 - December 31, 1996

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

January 23, 1994 - December 31, 1994

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

January 20, 1993 - January 19, 1994

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

April 27, 1987 - December 31, 1992

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

March 5, 1984 - May 7, 1987

MBA EQUITY INVESTMENT CORPORATION

CRD#: 7911

Past

March 5, 1976 - December 23, 1985

NEW ENGLAND SECURITIES

CRD#: 615

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".

LIFEMARK SECURITIES CORP.

LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.

CRD#: 16204 / SEC#: 801-68438, 8-33478

RIA

Registered Investment Advisory firm - SEC (10/17/2007 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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.

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

Colorado
(2/23/2024)

Florida
(6/3/2019)

Illinois
(3/22/2024)

Iowa
(10/23/2018)

Massachusetts
(10/23/2018)

Michigan
(12/13/2021)

New Hampshire
(10/23/2018)

IAR

New Hampshire
(10/23/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 5/19/1984

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: 2/15/1986

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 2/28/1976

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/8/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LIFEMARK SECURITIES CORP.

LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.

CRD#: 16204 / SEC#: 801-68438, 8-33478

RIA

Registered Investment Advisory firm - SEC (10/17/2007 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

400 West Metro Park, Rochester, NY 14623

Mailing Address

400 West Metro Park, Rochester, NY 14623

Phone number

(585) 424-5672

Established

New York since 04/04/1983

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

SEC notice filing (46 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE 2A (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
KALINOWSKI, ANDREW JOSEPH	VP / BOARD MEMBER/SECRETARY	263409
MICCICHE, VINCENT JR	TREASURER/ FINOP/PFO/POO	702149
PRISCO, JAMES JOSEPH	CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER	2653402
PRISCO, JAMES JOSEPH	PRESIDENT / BOARD MEMBER	2653402
GEORGIEV, ALEXANDRE JR.	CCO OF THE RIA / DIRECTOR OF OPERATIONS	5307830

Regulatory assets under management

Total Number of Accounts	2,021
AUM (Assets Under Management)	$ 461,475,636

Disclosures

Regulatory Event	2
Arbitration	3

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

Dennis C. Butterfield

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Charles Butterfield's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Dennis Charles Butterfield's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIFEMARK SECURITIES CORP.

FORESTERS EQUITY SERVICES, INC.

FORESTERS EQUITY SERVICES, INC.

NATIONWIDE SECURITIES, LLC

NATIONWIDE SECURITIES, LLC

1717 CAPITAL MANAGEMENT COMPANY

1717 CAPITAL MANAGEMENT COMPANY

MUTUAL SERVICE CORPORATION

MUTUAL SERVICE CORPORATION

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

EQUITY SERVICES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

EQUITY SERVICES, INC.

MBA EQUITY INVESTMENT CORPORATION

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

LIFEMARK SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/19/1984

SIE

Date: 10/1/2018

Series 7

Date: 2/15/1986

Series 1

Date: 2/28/1976

Series 24

Date: 8/8/1998

FINRA

Current Firm

LIFEMARK SECURITIES CORP.

Contact information

SEC notice filing (46 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

LIFEMARK SECURITIES CORP.

TRUST BUT VERIFY

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