Individual Firm
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THOMAS RICHARD BUTLER
CRD#: 4405478
IA
B
LINCOLN INVESTMENTCRD#: 519 1000 Brooktree Rd
Suite 100
Wexford, PA 15090
Suite 100
Wexford, PA 15090
0
Disclosures
23
Years of Experience
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State Registrations
B
Arizona 11/13/2017
B
Pennsylvania 11/13/2017
B
Florida 11/13/2017
IA
Pennsylvania 11/13/2017
B
Illinois 11/13/2017
B
South Carolina 11/13/2017
B
Louisiana 11/13/2017
B
Tennessee 11/13/2017
B
Missouri 1/4/2019
B
Wisconsin 11/13/2017
B
North Carolina 11/13/2017
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
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IA
Registered with this firm since 11/13/2017
IA
Registered with this firm since 11/13/2017
B
Registered with this firm since 11/13/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/26/2013 - 11/13/2017 | WEXFORD, PA | |
B | 11/26/2013 - 11/13/2017 | WEXFORD, PA | |
IA | 11/13/2006 - 11/27/2013 | WEXFORD, PA | |
B | 11/13/2006 - 11/27/2013 | WEXFORD, PA | |
B | 06/14/2001 - 11/03/2006 | WEXFORD, PA | |
IA | 07/19/2001 - 11/02/2006 | WEXFORD, PA |
WEXFORD, PA
07/19/2001 - 11/02/2006
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.