Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
JOHN CHARLES BUTE
CRD#: 4006843
IA
Investment Adviser
B
Previous Broker
LIDOCRD#: 269866 1875 NW CORPORATE BOULEVARD
SUITE 110
BOCA RATON, FL 33431
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS1999 - 2006 (6 years)2 FIRMS2006 - 2008 (2 years)2 FIRMS2008 - 2019 (10 years)IALIDO (CRD# 269866)2019 - Present (5 years)
License(s)

State Registrations

IA
California 8/1/2022
IA
Florida 10/22/2019
Current Registration(s)
IA
LIDO (CRD#:269866)
1875 NW CORPORATE BOULEVARD SUITE 110, BOCA RATON, FL 33431
Registered with this firm since 10/22/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/06/2008 - 10/22/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BOCA RATON, FL
B
 11/06/2008 - 10/22/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BOCA RATON, FL
IA
 03/17/2006 - 11/13/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) BOCA RATON, FL
B
 03/17/2006 - 11/13/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) BOCA RATON, FL
IA
 10/25/1999 - 03/20/2006 MORGAN STANLEY (CRD#:7556) FT. LAUDERDALE, FL
B
 10/22/1999 - 03/20/2006 MORGAN STANLEY DW INC. (CRD#:7556) FT. LAUDERDALE, FL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.