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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2023-06-29 |
| TX | RA | APPROVED_RES | 2023-06-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| James C. Butterfield Investments, Inc. | Jackson | MI | 06/1987 | Present |
| Summit Brokerage Services Inc | Jackson | MI | 02/2010 | 09/2019 |
| Cetera Wealth Services, Llc | El Segundo | CA | 09/2019 | Present |
| Summit Financial Group Inc | Jackson | MI | 09/2016 | 05/2021 |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
(1) NAME OF OTHER BUSINESS: JAMES C BUTTERFIELD INVESTMENTS, INC. ; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 09/2019; POSITION/TITLE/RELATIONSHIP: OWNER/FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-05-19 |
| S63 | Uniform Securities Agent State Law Examination | 1988-01-15 |
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