John S. Bat
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.
John Steven Bat, who also goes by John Stevens Bat, John S Batt, was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 1983. John had worked at 15 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
March 18, 2013 - October 19, 2020
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 14, 2008 - January 9, 2012
CETERA ADVISORS LLC
January 5, 2006 - January 17, 2008
WALNUT STREET SECURITIES, INC.
August 15, 2003 - February 9, 2005
HIMCO DISTRIBUTION SERVICES COMPANY
September 12, 2002 - August 7, 2003
WELLS FARGO INVESTMENTS, LLC
September 10, 2002 - August 7, 2003
WELLS FARGO INVESTMENTS, LLC
May 16, 2001 - September 6, 2002
MORGAN STANLEY DW INC.
June 1, 1995 - September 6, 2002
MORGAN STANLEY DW INC.
August 25, 1992 - May 12, 1995
BANC ONE SECURITIES CORPORATION
December 14, 1990 - September 10, 1992
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
December 14, 1990 - September 10, 1992
OSAIC FA, INC.
January 23, 1990 - May 15, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 23, 1990 - May 15, 1990
EQUITABLE ADVISORS, LLC
July 15, 1986 - December 5, 1988
RAUSCHER PIERCE REFSNES, INC.
July 3, 1985 - July 31, 1985
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 3, 1985 - July 28, 1986
LEHMAN BROTHERS INC.
March 9, 1984 - August 28, 1984
E. F. HUTTON & COMPANY INC
June 28, 1983 - March 23, 1984
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
