Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Stephen Buttles is a financial professional with over 20 years of experience in the industry. John is currently registered with UBS Securities LLC in San Francisco, CA and has been with them since 10/03/2019. Previously, John worked at DEUTSCHE BANK SECURITIES INC., LEERINK SWANN LLC, SCHWAB CAPITAL MARKETS L.P., ROBERTSON STEPHENS, INC., and BANCAMERICA ROBERTSON STEPHENS. John has a strong track record of success and is committed to providing his clients with the highest level of service and expertise.
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.
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.
1
2
CA
10/07/2019 - Present
UBS Securities LLC (SAN FRANCISCO CA)
CA
06/14/2010 - 09/03/2019
DEUTSCHE BANK SECURITIES INC. (SAN FRANCISCO CA)
CA
10/18/2004 - 06/14/2010
LEERINK SWANN LLC (SAN FRANCISCO CA)
CT
09/09/2002 - 10/18/2004
SCHWAB CAPITAL MARKETS L.P. (STAMFORD CT)
CA
09/01/1998 - 07/25/2002
ROBERTSON STEPHENS, INC. (SAN FRANCISCO CA)
CA
08/06/1998 - 09/01/1998
BANCAMERICA ROBERTSON STEPHENS (SAN FRANCISCO CA)
BC
Issued 08/11/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/14/2011
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/05/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/05/1998
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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