James E. 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.
James Edward Butler, who also goes by Jim Butler, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1977. James had worked at 14 firms and has passed the Series 66, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2008 - February 8, 2017
CONCERT WEALTH MANAGEMENT
October 4, 2002 - September 16, 2008
UBS FINANCIAL SERVICES INC.
October 4, 2002 - September 16, 2008
UBS FINANCIAL SERVICES INC.
March 20, 1998 - October 11, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 14, 1998 - October 11, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 1997 - December 31, 1997
AMERICAN GENERAL SECURITIES INCORPORATED
April 12, 1994 - October 1, 1997
USLIFE EQUITY SALES CORP.
March 8, 1993 - March 21, 1994
G. R. PHELPS & CO., INC.
September 17, 1990 - March 12, 1993
TRANSAMERICA SECURITIES SALES CORPORATION
September 17, 1990 - March 12, 1993
TRANSAMERICA FINANCIAL ADVISORS, INC.
July 10, 1989 - October 3, 1990
FSC SECURITIES CORPORATION
June 13, 1988 - July 13, 1989
INTERCAL SECURITIES CO.
July 12, 1984 - March 22, 1988
SOUTHMARK FINANCIAL SERVICES, INC.
June 19, 1983 - August 28, 1984
AETNA LIFE INSURANCE AND ANNUITY COMPANY
November 8, 1982 - August 3, 1984
USLIFE EQUITY SALES CORP.
December 2, 1980 - January 6, 1982
TBA FINANCIAL CORPORATION
January 6, 1977 - April 14, 1980
LINCOLN FINANCIAL DISTRIBUTORS, 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 1
Date: 12/23/1976
Registered Representative ExaminationCurrent Firm
CONCERT WEALTH MANAGEMENT
CRD#: 141253 / SEC#: 801-67992
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
