Jeffrey J. Butterfield
RBC CAPITAL MARKETS
LINCOLN, NE 68520
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CRD#: 3038326
Professional summary
Jeffrey James Butterfield, CFP® is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Lincoln, Nebraska.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Jeffrey has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1)NAME OF ENTITY: RADENE GOLDBERG STUMP MEMORIAL SCHOLARSHIP TRUST; ADDRESS: 808 GARFIELD ST BEATRICE, NE 68310; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: MEMORIAL SCHOLARSHIP TRUST; CAPACITY: COMMITTEE/COUNCIL MEMBER; START DATE: 03/2020; DUTIES: SERVE AS AN ADVISORY COMMITTEE MEMBER FOR THE RADENE GOLDBERG STUMP MEMORIAL SCHOLARSHIP WHICH WILL BE AWARDED ANNUALLY TO HIGH SCHOOL GRADUATE STUDENTS FROM BEATRICE, NEBRASKA PUBLIC SCHOOLS; HOURS DEVOTED PER MONTH: .25 HOURS; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: .25 HOURS; (2) NAME OF ENTITY: Rural Water District No. 1 Lancaster County, NE ADDRESS: 310 Fir Street PO Box 98 Bennet, NE 68317 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Non-profit quasi municipality CAPACITY: Board of Directors START DATE: 3/9/2022 DUTIES: The Board of Directors oversees the management and function of the Rural Water District that serves southern and the southeast portion of Lancaster County HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (3) NAME OF ENTITY: South Ridge Acres Homeowner's Association ADDRESS: INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Governing body for the South Ridge Acres development in Lancaster County START DATE: 10.15.23 CAPACITY: Board of Directors DUTIES: As Secretary I will be required to keep the minutes of all meetings; serve notice of meetings of the Board and of the members, keep current records. HOURS DEVOTED PER MONTH: 4 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (4) NAME OF ENTITY: Morning Run LLC ADDRESS: 1120 K Street Suite 200 Lincoln Nebraska 68508 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Other START DATE: 08/08/2025 CAPACITY: Partner DUTIES: The LLC was established as my spouse will eventually inherit some property from her parents. We will also plan to evaluate future, potential, real estate investment opportunities utilizing this LLC. HOURS DEVOTED PER MONTH: 0 - 4 Hours HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 - 4 Hours
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey James Butterfield's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey James Butterfield's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2023
Experience
Current
June 15, 2011 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 8800 Firethorn Lane Suite 200, Lincoln, NE 68520RIA
BD
CRD#: 31194
LINCOLN, NE
Current
June 7, 2010 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 8800 Firethorn Lane Suite 200, Lincoln, NE 68520RIA
BD
CRD#: 31194
LINCOLN, NE
Past
August 24, 2007 - June 9, 2010
PIPER SANDLER & CO.
BD
CRD#: 665
LINCOLN, NE
Past
April 14, 2004 - September 15, 2005
NELNET CAPITAL LLC
BD
CRD#: 104050
LINCOLN, NE
Past
August 4, 1998 - January 3, 2003
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(11/28/2023)
RR
Arizona(6/7/2010)
RR
California(3/20/2024)
RR
Colorado(6/7/2010)
RR
District of Columbia(6/7/2010)
RR
Florida(6/7/2010)
RR
Idaho(9/22/2025)
RR
Iowa(6/7/2010)
RR
Kansas(6/7/2010)
RR
Maryland(6/17/2019)
RR
Minnesota(6/7/2010)
RR
Missouri(6/7/2010)
RR
Nebraska(6/7/2010)
IAR
Nebraska(6/15/2011)
RR
Nevada(6/7/2010)
RR
New York(6/7/2010)
RR
North Carolina(10/26/2024)
RR
Ohio(6/7/2010)
RR
Oregon(2/3/2025)
RR
South Carolina(6/16/2021)
RR
South Dakota(6/7/2010)
RR
Tennessee(1/3/2022)
RR
Texas(6/7/2010)
IAR
Texas(3/30/2017)
RR
Washington(1/5/2023)
RR
Wyoming(6/7/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
