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JP

Joshua P. Prentice

BUTLER CAPITAL PARTNERS
OLD WESTBURY, NY
Some features on this profile are disabled
CRD#: 4562278
JP

Professional summary

Joshua Putnam Prentice is a registered financial professional currently at BUTLER CAPITAL PARTNERS located in Old Westbury, New York.

Joshua is registered as a RR (Registered Representative) and started their career in finance in 2002. Joshua has worked at 4 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joshua Putnam Prentice's CRS (Customer Relationship Summary).
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®
None

Experience

Current

November 11, 2024 - Present

BUTLER CAPITAL PARTNERS

BD
CRD#: 114242
OLD WESTBURY, NY
Past

October 22, 2019 - February 16, 2024

RIVERSTONE CAPITAL SERVICES LLC

BD
CRD#: 172056
New York, NY
Past

November 9, 2015 - October 14, 2019

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
New York, NY
Past

December 9, 2014 - October 14, 2015

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
NEW YORK, NY
Past

October 15, 2002 - March 9, 2005

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings

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

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
California
(11/11/2024)
RR
Connecticut
(11/11/2024)
RR
Florida
(11/11/2024)
RR
Illinois
(11/11/2024)
RR
Massachusetts
(11/11/2024)
RR
New Jersey
(11/11/2024)
RR
New York
(11/11/2024)
RR
Texas
(11/11/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 4/8/2015
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 11/4/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/9/2014
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BC
BUTLER CAPITAL PARTNERS
BUTLER CAPITAL INVESTMENTS, LLC | NORTH CREEK BUTLER | BUTLER CAPITAL PARTNERS

CRD#: 114242 / SEC#: , 8-53413

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
326 Centre Island Road, Oyster Bay, NY 11771
Mailing Address
Po Box 1358, Bayville, NY 11709
Phone number
(516) 333-2100
Established
New York since 04/16/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BUTLER, R ALAN JRMANAGING MEMBER1049661
KEMPER, ANTOINE CLAUDE JRCOO1395246
KLICK, ANDREW SCOTTCHIEF COMPLIANCE OFFICER2186884
RIP, OLGAFINANCIAL AND OPERATIONAL PRINCIPAL (FINOP)/CHIEF FINANCIAL OFFICER (CFO)5440553

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.

Company Information

BUTLER CAPITAL PARTNERS

CRD#: 114242Old Westbury, NY

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