Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frances? Claim Your ProfileFrances Annette Batista is a registered investment advisor with Oppenheimer & Co. Inc. Frances has been in the securities industry since June 26, 2005. Frances has Series 3, 7, 63, 65 and 66 licenses, and has been registered in Florida and Texas. Before joining Oppenheimer & Co. Inc. Frances was employed at CIBC WORLD MARKETS CORP., PRUDENTIAL SECURITIES INCORPORATED, and LEHMAN BROTHERS INC. Frances provides portfolio management services to individuals, businesses, and pooled investment vehicles.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
FL
05/17/2017 - Present
Oppenheimer & Co. Inc. (CORAL GABLES FL)
NY
06/07/2001 - 02/11/2002
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
01/23/1996 - 06/07/2001
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
06/20/1995 - 03/28/1996
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 08/03/2012
Series 66 - Uniform Combined State Law Examination
IA
Issued 06/05/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/24/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/08/2013
Series 3 - National Commodity Futures Examination
BC
Issued 02/17/2012
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Frances Batista is the right advisor for you? Invested Better is here to help.
