Charles R. Bateman
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.
Charles Richard Bateman, who also goes by Dick Bateman, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1969. Charles had worked at 12 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2004 - February 13, 2006
B.B. GRAHAM & COMPANY, INC.
November 5, 1999 - December 31, 2003
FIRST SECURITIES USA, INC.
July 12, 1995 - November 5, 1999
FIRST ASSOCIATED SECURITIES GROUP, INC.
June 7, 1985 - October 10, 1994
SOARES FINANCIAL GROUP, INC.
June 24, 1983 - October 7, 1985
CONSOLIDATED INVESTMENT SERVICES, INC.
May 12, 1980 - June 30, 1983
SOUTHMARK FINANCIAL SERVICES, INC.
February 1, 1978 - February 2, 1979
AMERICAN INVESTORS COMPANY
June 2, 1975 - December 18, 1977
M. H. DECKARD & CO., INC.
March 10, 1972 - April 17, 1975
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
December 3, 1971 - March 10, 1972
FALCON FINANCIAL SERVICES, INC.
August 16, 1971 - January 13, 1972
GREEN HILL FINANCIAL SERVICE CORPORATION
December 4, 1969 - October 7, 1971
INVESTORS SERVICES INC
Primary Firm SEC Registration
B.B. GRAHAM & COMPANY, INC.
CRD#: 41533 / SEC#: 801-106968, 8-49477
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
Series 1
Date: 9/8/1969
Registered Representative ExaminationCurrent Firm
B.B. GRAHAM & COMPANY, INC.
CRD#: 41533 / SEC#: 801-106968, 8-49477
Contact information
SEC notice filing (45 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRAHAM, BRUCE EDWIN | PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER | 2563258 |
| BETTFREUND, JOHN WAYNE JR | CHIEF COMPLIANCE OFFICER | 1448436 |
| CALLEN, DOUGLAS BRAD | SENIOR VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER | 2133945 |
| GODINEZ, MARIE ELIZABETH | CHIEF OPERATIONS OFFICER | 3020086 |
Regulatory assets under management
| Total Number of Accounts | 303 |
| AUM (Assets Under Management) | $ 196,073,458 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 4 |
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.
