Stephen J. Butler

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CRD#: 37280

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.

Stephen James Butler was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1970. Stephen had worked at 7 firms and has passed the Series 66, Series 99TO, Series 7TO, SIE, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

PENSION DYNAMICS COMPANY LLC NATURE OF BUSINESS: Investment related 2300 CONTRA COSTA BLVD., SUITE 400, PLEASANT HILL CA 94523 Minimal time during trading hours

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 18, 2020 - May 19, 2022

CBIZ INVESTMENT ADVISORY SERVICES, LLC

RIA

CRD#: 286002

Pleasant Hill, CA

Past

December 22, 2014 - December 31, 2020

STEPHEN JAMES BUTLER LLC

RIA

CRD#: 134555

PLEASANT HILL, CA

Past

December 1, 2000 - March 9, 2021

PENSION DYNAMICS SECURITIES CORPORATION

CRD#: 104081

PLEASANT HILL, CA

Past

August 3, 1995 - December 7, 2000

PROTECTED INVESTORS OF AMERICA

CRD#: 6082

SAN FRANCISCO, CA

Past

April 24, 1985 - July 17, 1995

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

December 14, 1982 - April 15, 1985

FIRST AFFILIATED SECURITIES, INC.

CRD#: 6871

Past

February 9, 1970 - February 21, 1984

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

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".

CBIZ INVESTMENT ADVISORY SERVICES, LLC

CBIZ INVESTMENT ADVISORY SERVICES, LLC | THE INR TEAM OF CBIZ IAS | CBIZ RETIREMENT PLAN SERVICES

CRD#: 286002 / SEC#: 801-108996

RIA

Registered Investment Advisory firm - (2/8/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/21/1999

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 1/30/1970

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/11/1999

General Securities Principal Examination

Current Firm

CBIZ INVESTMENT ADVISORY SERVICES, LLC

CBIZ INVESTMENT ADVISORY SERVICES, LLC | THE INR TEAM OF CBIZ IAS | CBIZ RETIREMENT PLAN SERVICES

CRD#: 286002 / SEC#: 801-108996

RIA

Registered Investment Advisory firm - (2/8/2017 Approved)

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Contact information

Main Address

5959 Rockside Woods Blvd N Suite 600, Cleveland, OH 44131

Mailing Address

Phone number

(216) 447-9000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CBIZ IAS BROCHURE NO WRAP (3/27/2025)

THE CBIZ INR WRAP BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	2,658
AUM (Assets Under Management)	$ 10,491,932,749

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.

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Advisor Monitoring

Firm Stability Insights

Stephen J. Butler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STEPHEN JAMES BUTLER LLC

PENSION DYNAMICS SECURITIES CORPORATION

PROTECTED INVESTORS OF AMERICA

LPL FINANCIAL LLC

FIRST AFFILIATED SECURITIES, INC.

1717 CAPITAL MANAGEMENT COMPANY

Primary Firm SEC Registration

CBIZ INVESTMENT ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/21/1999

Series 99TO

Date: 1/2/2023

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 1/30/1970

Series 24

Date: 1/11/1999

Current Firm

CBIZ INVESTMENT ADVISORY SERVICES, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CBIZ INVESTMENT ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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