Susan Butler: Edward Jones Advisor Faces Misappropriation Complaint

Independence, Missouri financial advisor Susan Butler (CRD# 6222652) allegedly misappropriated funds, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Edward Jones.

Ms. Butler’s BrokerCheck report discloses one investor complaint. Filed in September 2025, it alleges that as a representative of Edward Jones, she misappropriated funds from the customer. The pending complaint alleges damages of $31,000.

For reference, FINRA rules forbid brokers like Ms. Butler from misusing their investors’ funds. FINRA Rule 2150 specifically stipulates that no registered representative “shall make improper use of a customer’s securities or funds.” The misappropriation of investor funds may also violate FINRA Rule 2010, which requires brokers to “observe high standards of commercial honor and just and equitable principles of trade” as they conduct their business. Brokers who violate these rules may be found liable for damages in the event of losses. They may also be subject to disciplinary action by state and/or federal regulatory bodies.

According to the Financial Industry Regulatory Authority, Susan Butler holds three years of securities industry experience. Based in Independence, Missouri, she has been registered as a broker and an investment advisor with Edward Jones since 2022. She has no previous registrations. Her credentials include the passage of three securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7TO; and the Uniform Combined State Law Examination, or Series 66. She is licensed in Arizona, California, Colorado, Delaware, Florida, Illinois, Kansas, Missouri, New York, Oklahoma, Rhode Island, South Carolina, Texas, Virginia, and Wisconsin. (Information current as of October 19, 2025.)

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