James L. Butler

Other Names:	James Lawrence Butler
Firm:	FSC Securities Corporation
Additional Firm:	Butler Associates Financial Planners, Inc. President
Type:	Dual Registration

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Description

James L. Butler is a representative at Butler Associates Financial Planners, Inc. in Saint Louis, MO. Butler Associates Financial Planners, Inc. primarily manages accounts for individuals, corporations or other businesses, and pension and profit sharing plans and has more than $51M in assets under management. This advisor ...(see more)

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Level 6 Level 6 Contributor 0 Answers and 1 Financial Guide

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Exit Planning for Business Owners

Published Jan 04, 2012

4 votes

What is “exit Planning?” I have seen several definitions of Exit Planning over the years. One that is most concise and that I like is “the holistic approach to designing an exit strategy for a ...(more)

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Advisor Information

Social Media

http://www.linkedin.com/pub/james-butler/18/80/85b

Firm Client Types

	Individuals
	High Net Worth Individuals
	Pension and Profit Sharing Plans
	Corporations or Other Businesses
	Charitable Organizations
	State or Municipal Government Entities

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer	Years	Dates
FSC Securities Corporation	11 years, 8 months	Sep 2001 - Present
Butler Associates Financial Planners, Inc.	25 years, 4 months	Jan 1988 - Present

*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 06/06/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status	Registered	Registered
Disclosures	No Disclosures Found	No Disclosures Found
As of Date	06/06/2012	08/07/2012

*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam	Series	Passed Date
Municipal Fund Securities Principal Examination	Series 51	03/25/2003
Uniform Combined State Law Examination	Series 66	12/11/2001
General Securities Principal Examination	Series 24	12/17/1997
Investment Company Products/Variable Contracts Principal Examination	Series 26	12/02/1988
Uniform Securities Agent State Law Examination	Series 63	10/23/1987
General Securities Representative Examination	Series 7	09/19/1987
Investment Company Products/Variable Contracts Representative Examination	Series 6	09/14/1987

Advisor Compensation Arrangements

Types of Compensation Arrangements

Location

Contact Information

Address	10733 Sunset Office Drive Suite 259A Saint Louis, MO 63127
Phone Number	(314)-842-6555
Website	www.b-a-f-p.com

State Registrations

is registered in the following states: MO, AR, CA, CO, IA, IL, KS, KY, MO, PA, FL, MN, OH, IN, OK, GA, AZ, IL, MD and NY

Professional Designations

Accredited Estate Planner

This accreditation acknowledges designees their experience and specialization in estate planning.

Certified Financial Planner

A standard certification for advisors, designees are exposed to nearly 100 topics on integrated financial planning. Major topics include, but not limited to: insurance, employee benefits, securities, state and federal tax, estate tax and planning, asset protection, etc.

Chartered Financial Consultant

Invididuals holding this designation understand the fundamentals of financial planning, including income tax, insurance, investment and estate planning.

Chartered Life Underwriter

A prestigious certification for advisors, designees are exposed to nearly 100 topics on integrated financial planning. Major topics include, but not limited to: insurance, employee benefits, securities, state and federal tax, estate tax and planning, asset protection, etc.

Membership Associations

Financial Planning Association

The Financial Planning Association (FPA®) is the largest membership organization for personal financial planning experts in the U.S. and includes professionals from all backgrounds and business models. We help connect thousands of consumers to competent and ethical planners who uphold the FPA Standard of Care.

National Association of Insurance and Financial Advisors

NAIFA comprises more than 600 state and local associations representing the interests of approximately 200,000 agents and their associates nationwide. NAIFA members focus their practices on one or more of the following: life insurance and annuities, health insurance and employee benefits, multiline, and financial advising and investments. The Association’s mission is to advocate for a positive legislative and regulatory environment, enhance business and professional skills, and promote the ethical conduct of its members.

Advisor Services

	Financial Planning	60%
	Estate Planning
	Comprehensive Financial Planning
	Retirement Planning
	Charitable Planning
	Portfolio Management	30%
	Individuals and/or Small Businesses
	Insurance	10%
	Life Insurance
	Health Insurance
	Long-Term Care Insurance
	Annuities