Alan R. Battles
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alan Richard Battles was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1981. Alan had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2009 - August 9, 2018
PURSHE KAPLAN STERLING INVESTMENTS
January 20, 2009 - January 11, 2022
BRIGHTON WEALTH MANAGEMENT, INC.
February 13, 2002 - January 27, 2009
UBS FINANCIAL SERVICES INC.
January 4, 2002 - January 27, 2009
UBS FINANCIAL SERVICES INC.
July 23, 1981 - January 17, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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