John C. Butler
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Christopher Butler, who also goes by J C Butler, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1989. John had worked at 7 firms and has passed the Series 65, Series 63, Series 72, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2014 - December 20, 2022
SANTANDER US CAPITAL MARKETS LLC
March 5, 1993 - October 14, 2014
AMHERST SECURITIES GROUP, L.P.
June 26, 1992 - March 15, 1993
WESTCAP SECURITIES, L.P.
June 4, 1992 - March 15, 1993
WESTCAP GOVERNMENT SECURITIES, INC.
May 30, 1991 - June 12, 1992
MURCHISON INVESTMENT BANKERS, INC.
October 19, 1990 - May 22, 1991
WULFF, HANSEN & CO.
February 14, 1989 - September 24, 1990
BARRE & COMPANY, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationCurrent Firm
SANTANDER US CAPITAL MARKETS LLC
CRD#: 150696 / SEC#: , 8-68282
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANTANDER CAPITAL HOLDINGS LLC | SOLE MEMBER | |
| LANE, JASON DEARMOND | CHIEF COMPLIANCE OFFICER | 2671708 |
| PACHECO, MERCEDES MARIA | CHIEF LEGAL OFFICER | 2909083 |
| PRIETO-MORENO, GERARDO | PRINCIPAL OPERATIONS OFFICER | 7295411 |
| SANTANGELO, MICHAEL JOHN | CFO | 4705334 |
| VITALE, PAUL N | FINOP, PRINCIPAL FINANCIAL OFFICER | 5909566 |
| WALSH, JOSEPH NORTON III | CEO | 2804671 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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