Anthony B. Butta

NOMURA SECURITIES INTERNATIONAL

New York, NY 10019

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CRD#: 7058773

Professional summary

Anthony Bartholomew Butta, who also goes by Anthony Butta, is a registered financial professional currently at NOMURA SECURITIES INTERNATIONAL, INC. located in New York, New York and INSTINET, LLC located in New York, New York.

Anthony is registered as a RR (Registered Representative) and started their career in finance in 2020. Anthony has worked at 2 firms and has passed the Series 99TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Anthony Butta

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 Anthony Bartholomew Butta'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

January 3, 2020 - Present

NOMURA SECURITIES INTERNATIONAL, INC.

Office #1: Worldwide Plaza 309 West 49th Street, New York, NY 10019

RIA

CRD#: 4297

New York, NY

Current

February 3, 2023 - Present

INSTINET, LLC

Office #1: Worldwide Plaza 309 West 49th Street, New York, NY, 10019

RIA

CRD#: 7897

New York, NY

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".

INSTINET, LLC

INC TRADING CORPORATION | INSTINET, LLC | INSTINET CLEARING SERVICES, INC.

CRD#: 7897 / SEC#: 801-108490, 8-23669

RIA

Registered Investment Advisory firm - SEC (10/26/2016 Approved)

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.

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

General Industry/Product Exam

Series 99TO

Date: 1/3/2020

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 11/9/2019

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

INSTINET, LLC

INC TRADING CORPORATION | INSTINET, LLC | INSTINET CLEARING SERVICES, INC.

CRD#: 7897 / SEC#: 801-108490, 8-23669

RIA

Registered Investment Advisory firm - SEC (10/26/2016 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

Worldwide Plaza 309 West 49th Street, New York, NY, 10019

Mailing Address

Worldwide Plaza 309 West 49th Street, New York, NY, 10019

Phone number

(212) 310-9500

Established

Delaware since 06/01/2006

Firm type

Limited Liability Company

Fiscal year end

March

Firm Size

Medium

# of Employees

291

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

2025 ILLC FORM ADV PART2A (6/20/2025)

Direct owners and executive officers

Name	Position	CRD#
INSTINET HOLDINGS INCORPORATED	DIRECT OWNER
CHIULLI, EUGENE JAMES	CHIEF FINANCIAL OFFICER	2976702
CONE, RANDI J	CHIEF COMPLIANCE OFFICER	4811453
KENNIFF, ALICE M	ASSOCIATE GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISER)	5615714
MAURO, LUKE	HEAD OF OPERATIONS	4188932
MILLIGAN, GERARD THOMAS	PRESIDENT	2907544
SCHAFFNER, CHRISTY E	PRINCIPAL FINANCIAL OFFICER	2710171
SISKOVIC, JULIE MARIE	CHIEF COMPLIANCE OFFICER (BROKER-DEALER, CBOE/C2)	1385048
WEBB, FARON ROSS	GENERAL COUNSEL	2452057

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Anthony B. Butta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Anthony Bartholomew Butta's CRS (Customer Relationship Summary).

Certified licenses

Experience

NOMURA SECURITIES INTERNATIONAL, INC.

INSTINET, LLC

Primary Firm SEC Registration

INSTINET, LLC

State Registrations and Notice Filings

Exams

Series 99TO

Date: 1/3/2020

SIE

Date: 11/9/2019

FINRA

Current Firm

INSTINET, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

INSTINET, LLC

TRUST BUT VERIFY

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