JVB Investment Company
Disclosure
JVB Investment Company
S-P Disclosure
Under Securities and Exchange Commission Rule 14B-1(c), we will be obligated to provide your name, address and securities positions to each requesting company whose securities we hold for your account unless you object to such disclosure. The Rule prohibits companies from using any information so obtained for any purpose other than communicating with you. If you object to the disclosure of your name, address and securities positions, you must contact us at:
Jack V. Butterfield Investment Co.
100 S. Jackson Suite 100
Jackson, Mi 49201
517-787-2430
JVB Investment Company
Privacy Notice
Jack V. Butterfield Investment Company is a full service brokerage firm. We can offer you a variety of investment products: stocks, bonds, mutual funds, tax-free investments, annuities, IRA’s and IRA rollovers, SEP Plans, 403(b)’s, Simple plans and 401(k) retirement plans. In order to provide these products, we partner with agencies such as RBC Correspondent Services for our trade clearance and The American Funds Group for mutual fund purchases. The information we collect from you is gathered primarily from our new account form and a personal interview when you establish an account with our company. This includes such information as your name, address, social security number and financial information. In addition, we maintain records of each of your transactions and holdings with Jack V. Butterfield Investment Company.
To whom we disclose the information. We provide information about current or former clients to other parties out-side of Jack V. Butterfield Investment Company only as described below: To companies with whom we have joint marketing agreements. A joint marketing agreement is one in which another financial institution offers a product or service jointly with Jack V. Butterfield Investment Company, such as providing VISA card access to your brokerage account. These institutions are prohibited by agreement from using information about you except for the narrow purpose for which we gave it to them. To other companies as necessary to process your business.
For example, RBC Correspondent Services to clear your trades. Also, your account and transactional information is transmitted to the company that prints your account statements. Third parties in this category, like those in the category above, must limit their use of the information to the purpose for which it was provided. Where required by law or regulation. Examples include responses to a subpoena, court order or regulatory demand. As authorized by you. You may direct us, for example, to send your account statements and trade confirmations to a third party. As otherwise authorized or permitted by law. For example, the law permits us to respond to a request for information about you from a consumer-reporting agency. Confidentiality and security.
We restrict access to information about you to those employees and authorized agents who need to know that information in order to provide products or services to you. We maintain physical, electronic and procedural safeguards to maintain the confidentiality of your information. If you have any questions or concerns regarding this privacy notice, please do not hesitate to call our office.
Sincerely, Jack V. Butterfield Investment Company
JVB Investment Company
ORDER ROUTING/ BEST EXECUTION RBC CLEARING & CUSTODY SERVICES BEST EXECUTION COMMITTEE
The SEC has directed that all brokers have a duty to regularly and rigorously review their order routing decisions to ensure that client orders are routed to destinations where they are likely to receive “best execution.” Factors that are to be considered in such reviews include overall market quality, including the opportunity for an order to receive price improvement, speed of execution, order size, trading characteristics of a particular security, availability of accurate information affecting choices as to the most favorable market, availability of economic access to the various market centers and the cost and difficulty associated with achieving an execution in a particular market center.
The RBC C&C Best Execution Committee (“the Committee”) is comprised of senior management from RBC C&C Operations and finance. The Committee meets monthly to review statistics and other information pertaining to the execution quality provided by RBC C&C’ order routing destinations as well as competing venues. This review is mandated by RBC C&C’ written supervisory procedures and utilizes execution statistics required to be published by market centers pursuant to SEC Rule 605 and Rule 606, as provided to RBC C&C by S3 Matching Technologies, LP (“S3”). In addition to reviewing statistics and the other factors discussed above, the Committee also reviews order routing processes and technology, and makes suggestions to improve or replace those in place.
For more information, please visit the RBC C&C Page here.
Additional Resources & Information
John Butterfield
President, Since 1979
Tim Thayer
Vice President, Since 1984
Jason Butterfield, CFP®
Regional Vice President Since 2009
Ben Butterfield
Retirement Plan Consultant, Since 2015
Nick Butterfield
Registered Investment Advisor Representative, Since 2012
David Cavender
Financial and Operations Principal, Since 2017
Katie Potter
Registered Sales Associate, Since 2004
Aimee Swiatlowski
Assistant, Since 2001
