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JB

James E. Butler

Some features on this profile are disabled
CRD#: 815243
JB

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.

James Edward Butler JR, who also goes by James E Butler Jr, Jim E Butler, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1975. James had worked at 7 firms and has passed the Series 63, SIE, Series 5, PC, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

James E Butler Jr | Jim E Butler

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)

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 28, 2017 - September 18, 2020

SILICON PRAIRIE CAPITAL PARTNERS, LLC

BD
CRD#: 226591
Princeton, NJ
Past

October 5, 2009 - December 22, 2015

SEAPORT GLOBAL SECURITIES LLC

BD
CRD#: 116270
NEW YORK, NY
Past

June 9, 2005 - October 15, 2009

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

May 5, 2005 - June 29, 2005

FM PARTNERS HOLDINGS LLC

BD
CRD#: 134736
NEW YORK, NY
Past

December 9, 2002 - May 10, 2005

LAZARD FRERES & CO. LLC

BD
CRD#: 2528
NEW YORK, NY
Past

May 24, 2000 - November 11, 2002

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

November 20, 1975 - June 13, 2000

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

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.

Exams

State Security Law Exam
RR
Series 63
Date: 12/5/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 5
Date: 10/22/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
PC
Date: 8/22/1977
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 7
Date: 11/15/1975
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/28/1995
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 7/8/1987
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

SP
SILICON PRAIRIE CAPITAL PARTNERS, LLC
SILICON PRAIRIE CAPITAL PARTNERS, LLC | WITHERSPOON CAPITAL PARTNERS, LLC

CRD#: 226591 / SEC#: , 8-69625

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
475 Cleveland Ave, Suite 101b, St. Paul, MN 55104
Mailing Address
475 Cleveland Ave, Suite 101b, St. Paul, MN 55104
Phone number
(651) 645-7550
Established
Delaware since 02/18/2015
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (35 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SPHI - SILICON PRAIRIE HOLDINGS, INC.OWNER
BRENNAN, HUNTER DOUGLASFINOP7251507
DUCCINI, DAVID VINCENTCEO6851423
LONG, CEDRIC MARKPRESIDENT & CCO2113511

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

SILICON PRAIRIE CAPITAL PARTNERS, LLC

CRD#: 226591

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