Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Butterfield is a financial advisor at RBC Capital Markets, LLC. Stephen has over 30 years of experience in the financial services industry. Stephen is registered with the state of California as a broker-dealer and investment advisor representative. Stephen holds the Series 7, Series 10, Series 63, Series 66, and Series 9 licenses. Stephen is also a Registered Principal. Stephen has previously worked at BNY Clearing Services LLC, Charles Schwab & Co., Inc., SeaFirst Investment Services, Inc., and Paine Webber Incorporated. Stephen has a wide range of experience in providing investment advice and financial planning services to individuals, families, corporations, and institutions.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
CA
05/01/2019 - Present
RBC Capital Markets, LLC (SAN FRANCISCO CA)
WI
09/17/1999 - 09/20/2000
BNY CLEARING SERVICES LLC (MILWAUKEE WI)
TX
01/29/1996 - 04/17/1998
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
WA
04/22/1994 - 12/22/1995
SEAFIRST INVESTMENT SERVICES, INC. (SEATTLE WA)
CA
07/21/1993 - 12/22/1995
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
NA
08/28/1991 - 11/26/1991
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
NJ
12/17/1990 - 08/26/1991
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
CO
09/13/1990 - 12/06/1990
RFS PARTNERS (DENVER CO)
CA
12/05/1989 - 09/17/1990
EDWARD J. HENNESSY INCORPORATED (NOVATO CA)
BOTH
Issued 04/12/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/02/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/06/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/05/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/10/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 12/15/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/14/2018
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 PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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