William G. Bateman

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CRD#: 14613

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.

William Glenn Bateman, who also goes by Bill Bateman, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1969. William had worked at 7 firms and has passed the Series 7TO, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bill Bateman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) LARAWAY INSURANCE SERVICES INC, 1219 33RD ST SOUTH, ST CLOUD, MN, 9/1963 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 5/WK - 5/TRADING. 2) LARAWAY FINANCIAL ADVISORS INC, 1219 33RD ST SOUTH, ST CLOUD, MN, 1/2014 AS ADVISORY REP OF A RIA. INV REL - 30/WK - 15/TRADING. 3) CO-OWNER OF OFFICE RENTAL SPACE, SAINT CLOUD, MN, 11/2019. NIR - 20/YR - 0/TRADING.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 3, 2014 - October 20, 2023

LFA

RIA

CRD#: 114674

ST. CLOUD, MN

Past

January 2, 2014 - November 3, 2023

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

ST. CLOUD, MN

Past

August 17, 1990 - December 31, 2013

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

ST CLOUD, MN

Past

March 23, 1990 - August 7, 1990

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

December 23, 1988 - March 23, 1990

B.C. CHRISTOPHER SECURITIES CO.

CRD#: 60

KANSAS CITY, MO

Past

July 6, 1988 - December 23, 1988

MORISON SECURITIES, INC.

CRD#: 8097

Past

March 7, 1969 - July 1, 1988

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LFA

LARAWAY FINANCIAL ADVISORS, INC. | LFA

CRD#: 114674 / SEC#: 801-63115

RIA

Registered Investment Advisory firm - (5/14/2004 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 3/4/1969

Registered Representative Examination

Current Firm

LFA

LARAWAY FINANCIAL ADVISORS, INC. | LFA

CRD#: 114674 / SEC#: 801-63115

RIA

Registered Investment Advisory firm - (5/14/2004 Approved)

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Contact information

Main Address

1219 - 33rd Street South, St. Cloud, MN 56301

Mailing Address

Phone number

(320) 253-2490

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LFA ADV BROCHURE (2/4/2025)

Regulatory assets under management

Total Number of Accounts	803
AUM (Assets Under Management)	$ 309,222,813

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.

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Firm Stability Insights

William G. Bateman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

WOODBURY FINANCIAL SERVICES, INC.

OPPENHEIMER & CO. INC.

B.C. CHRISTOPHER SECURITIES CO.

MORISON SECURITIES, INC.

VOYA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

LFA

State Registrations and Notice Filings

Exams

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 3/4/1969

Current Firm

LFA

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LFA

TRUST BUT VERIFY

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