Richard D. 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.
Richard David Butler was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1978. Richard had worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2022 - May 6, 2024
CHARLES SCHWAB & CO., INC.
January 26, 2022 - May 6, 2024
CHARLES SCHWAB & CO., INC.
May 8, 2017 - October 14, 2022
TD AMERITRADE, INC.
May 8, 2017 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 2, 2017 - May 6, 2024
TD AMERITRADE, INC.
January 23, 2017 - March 10, 2017
EDWARD JONES
August 27, 2015 - December 12, 2016
SELECT CAPITAL CORPORATION
August 6, 2013 - May 19, 2015
VERTICAL CAPITAL SECURITIES, LLC
December 15, 2003 - August 1, 2013
LINCOLN FINANCIAL DISTRIBUTORS, INC.
February 13, 2002 - November 26, 2003
TRANSAMERICA CAPITAL, LLC
July 11, 2000 - September 5, 2000
ING FUNDS DISTRIBUTOR, INC.
June 8, 1995 - February 20, 2002
DIRECTED SERVICES LLC
August 28, 1991 - March 31, 1995
FUNDMARK INVESTMENT COMPANY SERVICES, INC.
January 19, 1990 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
January 19, 1990 - April 26, 1991
MONY SECURITIES CORPORATION
December 5, 1988 - January 10, 1990
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
October 27, 1986 - February 3, 1988
PRINTON, KANE GOVERNMENT SECURITIES, INC.
September 25, 1978 - January 31, 1984
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
