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Stephen Andrew Butterfield

Rbc Capital Markets, LLC

Walnut Creek, CA

Pleasant Hill, CA

CRD 2003441

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Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2019-05-01
CA RA APPROVED 2019-04-12
  • TX RA
    APPROVED
    Since 2019-05-01
  • CA RA
    APPROVED
    Since 2019-04-12

Branch Locations

1331 North California Blvd. Suite 650, Walnut Creek, CA 94596 • United States

Pleasant Hill, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rbc Capital Markets, Llc. Walnut Creek CA 07/2018 Present
Dublin Mazda Dublin CA 05/2017 07/2018
Ascentis San Mateo CA 06/2015 05/2017
  • 07/2018 → Present
    Rbc Capital Markets, Llc.
    Walnut Creek, CA
  • 05/2017 → 07/2018
    Dublin Mazda
    Dublin, CA
  • 06/2015 → 05/2017
    Ascentis
    San Mateo, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-04-12
S63 Uniform Securities Agent State Law Examination 1991-04-02
  • S66 Uniform Combined State Law Examination
    2019-04-12
  • S63 Uniform Securities Agent State Law Examination
    1991-04-02

View on SEC IAPD

Nearby Firms

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BURTON ENRIGHT WELCH
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Nearby Investors

CHRISTOPHER STEPHEN HUGHES
Gerwin de Haan
KELLY METZLER RANDALL

Nearby Offices

USCF ADVISERS · WALNUT CREEK, CA
BURTON ENRIGHT WELCH · WALNUT CREEK, CA
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · WALNUT CREEK, CA

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