John Marshall Tufts III
Professional Summary
John Marshall Tufts III, who also goes by John Marshall Tufts, is a registered financial advisor currently at BTIG, LLC located in San Francisco, California. John is registered as a RR (Registered Representative) and started their career in finance in 2016. John has worked at 1 firm and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
John Marshall Tufts III, John Marshall Tufts
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Videos & Posts
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Contact Information
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Disclosures on record.
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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Years of Experience
10 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
BASS TRADING, LLC | BTIG, LLC | BTIG ELECTRONIC TRADING | BAYPOINT TRADING, LLC
Contact Information
Main Address
350 Bush Street 9th Floor, San Francisco, CA 94104Mailing Address
350 Bush Street 9th Floor, San Francisco, CA 94104Phone Number
(415) 248-2200Established
Delaware since 06/05/2002Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
12Civil Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(4/15/2025)
(4/16/2025)
(4/16/2025)
(4/16/2025)
(4/16/2025)
(4/16/2025)
(4/16/2025)
(4/16/2025)
(4/15/2025)
(3/25/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Sep 2016About the Series 79 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view John Marshall Tufts III's CRS (Customer Relationship Summary).
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