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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas R Batten is a registered investment advisor with over 15 years of experience in the financial services industry. Douglas R Batten is currently affiliated with Citigroup Global Markets Inc. in Los Angeles, CA. Douglas R Batten also has previous experience with Legg Mason Investor Services, LLC, Morgan Stanley Smith Barney, and Citigroup Global Markets Inc.. Douglas R Batten holds Series 7, Series 66, and Series 79TO licenses and is registered in Delaware, Maryland, New Jersey, New York, and Pennsylvania. Douglas R Batten specializes in providing advisory services for high-net-worth individuals, corporations, insurance companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CA
12/16/2011 - Present
Citigroup Global Markets Inc. (Los Angeles CA)
DE
06/29/2010 - 06/17/2011
LEGG MASON INVESTOR SERVICES, LLC (WILMINGTON DE)
NY
06/01/2009 - 06/24/2010
MORGAN STANLEY SMITH BARNEY (PURCHASE NY)
NY
03/16/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BOTH
Issued 05/21/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/15/2007
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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