Yvette S. 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.
Yvette Sadler Butler, who also goes by Yvette Butler, Yvette P Sadler, was a registered financial professional .
Yvette is a previously registered financial professional and started their career in finance in 1998. Yvette had worked at 10 firms and has passed the Series 66, Series 99TO, Series 7TO, SIE, Series 7, Series 9, Series 24 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2020 - March 8, 2022
SVB INVESTMENT SERVICES INC.
August 30, 2018 - March 8, 2022
SVB INVESTMENT SERVICES INC.
January 28, 2015 - April 3, 2018
CAPITAL ONE ADVISORS, LLC
January 2, 2015 - April 3, 2018
CAPITAL ONE INVESTING, LLC
May 6, 2013 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
May 1, 2013 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
May 31, 2011 - April 5, 2013
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 31, 2011 - April 5, 2013
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 18, 2008 - April 5, 2013
WELLS FARGO CLEARING SERVICES, LLC
January 28, 2008 - April 5, 2013
WELLS FARGO CLEARING SERVICES, LLC
April 6, 2005 - January 5, 2007
E*TRADE SECURITIES LLC
February 13, 2004 - September 14, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 23, 2002 - September 14, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 13, 1998 - January 30, 1999
CHARLES SCHWAB & CO., INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
SVB INVESTMENT SERVICES INC.
CRD#: 168116 / SEC#: 801-78209, 8-70327
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,816 |
| AUM (Assets Under Management) | $ 1,465,036,204 |
Red Flags
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