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Luke William Battle

Morgan Stanley & Co. LLC

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About Luke William Battle

Luke Battle is a financial advisor with over four years of experience in the industry. Luke is currently registered with Morgan Stanley & Co. LLC and has been with them since February 2018. Previously, Luke was a registered representative with Putnam Retail Management Limited Partnership from August 2014 to January 2018. Luke is licensed in all 50 states and the District of Columbia. He holds the Series 6, 7, 63, and 65 licenses as well as the SIE exam.

Firm Information

Luke Battle is currently registered with Morgan Stanley & Co. LLC. Morgan Stanley & Co. LLC is a Limited Liability Company formed on December 3, 1969. It is registered in 53 states and has one approved SEC registration. The firm has been involved in 471 Regulatory Events, 5 Civil Events, and 54 Arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

462

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Luke Battle’s Registration & Firm History

MA

02/02/2018 - Present

Morgan Stanley & Co. LLC (Boston MA)

MA

08/01/2014 - 01/02/2018

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (ANDOVER MA)

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Licenses & Designations

IA

Issued 08/01/2016

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/29/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/23/2015

Series 7 - General Securities Representative Examination

BC

Issued 08/01/2014

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Luke William Battle.
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