Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kent? Claim Your ProfileKent Shea Butler is an investment advisor representative with UBS Financial Services Inc., based in Sugar Land, Texas. Kent has been in the securities industry since 2002 and has worked for several prominent financial institutions, including Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, and Citigroup Global Markets Inc. Kent is registered in several states, including Texas, California, Colorado, Florida, Georgia, Kentucky, Louisiana, Massachusetts, New Mexico, New York, Oklahoma, Washington and Wisconsin. Kent holds Series 7, 9, 10, 31, 63 and 65 licenses. Kent specializes in a variety of investment services including portfolio management, financial planning, pension consulting, educational seminars, and publication of periodicals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
TX
07/01/2010 - Present
UBS Financial Services Inc. (SUGAR LAND TX)
TX
06/01/2009 - 07/19/2010
MORGAN STANLEY SMITH BARNEY (HOUSTON TX)
TX
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (HOUSTON TX)
TX
04/20/2006 - 04/02/2007
MORGAN STANLEY DW INC. (HOUSTON TX)
TX
11/14/2002 - 04/19/2006
CITIGROUP GLOBAL MARKETS INC. (HOUSTON TX)
IA
Issued 02/11/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/03/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/22/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/30/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/01/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 11/13/2002
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Kent Butler is the right advisor for you? Invested Better is here to help.
