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Thomas Batters

State Street Global Advisors Funds Distributors, LLC

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About Thomas Batters

Thomas Batters is a financial professional with over 14 years of experience in the industry. Thomas is currently registered with State Street Global Advisors Funds Distributors, LLC and is active in 52 states and territories. Thomas has previously been registered with Lincoln Financial Advisors Corporation, Lincoln Financial Securities Corporation, Clarendon Insurance Agency, Inc. and Sun Life Financial Distributors, Inc. Thomas holds the Series 4, 6, 7, 24, 26, 52, 53, and 63 licenses.

Firm Information

Thomas Batters is currently registered with State Street Global Advisors Funds Distributors, LLC. State Street Global Advisors Funds Distributors, LLC is a Limited Liability Company formed in March 2002. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. It has an active SEC registration. The firm has reported 17 regulatory events.

Not reported

Assets Under Management

Not reported

Total Clients

83

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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Thomas Batters’s Registration & Firm History

MA

01/08/2014 - Present

State Street Global Advisors Funds Distributors, LLC (Boston MA)

CT

04/17/2012 - 01/16/2014

LINCOLN FINANCIAL ADVISORS CORPORATION (HARTFORD CT)

IN

04/17/2012 - 01/16/2014

LINCOLN FINANCIAL SECURITIES CORPORATION (FORT WAYNE IN)

MA

06/09/2008 - 03/16/2012

CLARENDON INSURANCE AGENCY, INC. (WALTHAM MA)

MA

06/09/2008 - 03/16/2012

SUN LIFE FINANCIAL DISTRIBUTORS, INC. (WELLESLEY HILLS MA)

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Licenses & Designations

BC

Issued 06/30/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/10/2020

Series 4 - Registered Options Principal Examination

BC

Issued 07/17/2014

Series 53 - Municipal Securities Principal Examination

BC

Issued 08/02/2012

Series 24 - General Securities Principal Examination

BC

Issued 07/28/2010

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/24/2014

Series 52 - Municipal Securities Representative Examination

BC

Issued 06/07/2012

Series 7 - General Securities Representative Examination

BC

Issued 06/06/2008

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Batters.
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