KB
KB
Keith Butler
34 Years of Experience
Fairfield, CT
1 DisclosureBroker
Keith Butler is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Fairfield, CT, with 34 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6484 advisors
IM Fee
Planning only
Assets Under Management
$390.0B
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Location
Fairfield, CT
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Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 1998Settled
Other Business Activities
Keith is the managing partner of a one-employee branch of Lodestar Capital Management LLC, where he manages client investment portfolios. This takes about half of his time.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
May 2024 - Present · 2 yrs
Raymond James Financial Services, INC.
May 2024 - Present · 2 yrs
Raymond James Financial Services, INC.Broker
May 2024 - Present · 2 yrs
Previous Registrations
Janney Montgomery Scott LLCBroker
August 2016 - May 2024 · 7 yrs 9 mos
Janney Montgomery Scott LLC
August 2016 - May 2024 · 7 yrs 9 mos
Wells Fargo Advisors, LLC
July 2009 - August 2016 · 7 yrs 1 mo
Wells Fargo Advisors, LLCBroker
July 2009 - August 2016 · 7 yrs 1 mo
Morgan Stanley Smith Barney LLC
June 2009 - August 2009 · 2 mos
Morgan Stanley Smith BarneyBroker
June 2009 - August 2009 · 2 mos
Citigroup Global Markets INC.
May 1998 - June 2009 · 11 yrs 1 mo
Citigroup Global Markets INC.Broker
April 1998 - June 2009 · 11 yrs 2 mos
Prudential Securities IncorporatedBroker
October 1994 - March 1998 · 3 yrs 5 mos
Westfield Financial CorporationBroker
August 1994 - November 1994 · 3 mos
Hibbard Brown & CO., INC.Broker
September 1991 - September 1994 · 3 yrs
State Registrations28 states
AZCACOCTDCFLGAHIIDILKSLAMANCNHNJNVNYOHPARISCTNTXVAVTWAWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.