Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Allen Batteast is a financial advisor with over 30 years of experience in the securities industry. James is currently registered with R. Seelaus & CO., LLC in Chicago, Illinois. James has previously held positions with several firms, including Penserra Securities, LLC, Lebenthal & Co., LLC, M. R. Beal & Company, Mizuho Securities USA Inc., Cantor Fitzgerald Securities, Cantor Fitzgerald & Co., Mesirow Financial, Inc., Continental Global Financial Corporation, and First Options of Chicago, Inc. James holds the Series 7 and Series 63 securities licenses and the SIE exam. James is registered in Illinois, New Jersey, New York, and Oregon.
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.
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.
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IL
03/13/2018 - Present
R. Seelaus & CO., LLC (Chicago IL)
IL
08/02/2017 - 02/26/2018
PENSERRA SECURITIES, LLC (CHICAGO IL)
IL
12/19/2013 - 07/21/2017
LEBENTHAL & CO., LLC (CHICAGO IL)
IL
07/30/2008 - 12/16/2013
M. R. BEAL & COMPANY (CHICAGO IL)
IL
11/04/2005 - 04/10/2007
MIZUHO SECURITIES USA INC. (CHICAGO IL)
NY
01/07/2002 - 11/04/2005
CANTOR FITZGERALD SECURITIES (NEW YORK NY)
NY
05/01/2002 - 07/06/2005
CANTOR FITZGERALD & CO. (NEW YORK NY)
IL
10/19/1999 - 01/09/2002
MESIROW FINANCIAL, INC. (CHICAGO IL)
NY
10/01/1997 - 09/24/1999
CANTOR FITZGERALD SECURITIES (NEW YORK NY)
NY
11/07/1991 - 10/01/1997
CANTOR FITZGERALD & CO. (NEW YORK NY)
NA
01/18/1990 - 09/06/1991
CONTINENTAL GLOBAL FINANCIAL CORPORATION
IL
09/24/1987 - 09/07/1989
FIRST OPTIONS OF CHICAGO, INC. (CHICAGO IL)
BC
Issued 07/09/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/19/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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