Marvin Baten
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.
Marvin Baten, who also goes by Mickey Baten, was a registered financial professional .
Marvin is a previously registered financial professional and started their career in finance in 1969. Marvin had worked at 10 firms and has passed the Series 7TO, SIE, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2011 - August 31, 2021
REVERE SECURITIES LLC
November 17, 2008 - October 7, 2011
ASD FINANCIAL SERVICES CORP
March 26, 2002 - October 28, 2008
JESUP & LAMONT SECURITIES CORP
August 1, 1991 - April 25, 2002
KC MAY SECURITIES CORP.
November 27, 1990 - August 7, 1991
JESUP & LAMONT SECURITIES CO., INC.
April 11, 1986 - November 23, 1990
OCEAN SECURITIES CORPORATION
July 28, 1980 - April 16, 1986
W. P. STEWART & CO., INC.
June 4, 1976 - May 19, 1994
RUANE, CUNNIFF & CO., INC.
November 13, 1973 - June 4, 1976
RUANE CUNNIFF & STIRES INC
August 19, 1969 - November 5, 1973
EDWARDS & HANLY
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 2/24/1967
Registered Representative ExaminationSeries 40
Date: 3/1/1971
Registered Principal ExaminationCurrent Firm
REVERE SECURITIES LLC
CRD#: 14178 / SEC#: , 8-30511
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 14 |
| Arbitration | 3 |
Red Flags
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