Victor R. Battani

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CRD#: 14770

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.

Victor R Battani JR was a registered financial professional .

Victor is a previously registered financial professional and started their career in finance in 1968. Victor had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Bus Nm: St John Foundation Investment Related: No Addr: 19251 Mack Ave. - 102 Grosse Pointe Woods MI 48236 Nature of Business: Board Position Title: member of the Board Start Date: 1/1/2016 Hours per month: 0-16 Duties: Attend meetings and support the fund raising activities of the foundation Bus Nm: BattRedd LLC Invst Rld: No Addr: 30150 Telegraph Ste 408 Bing Ham Farms MI 48025 Nat of Bus: Real Estate Ttl: Partner Strt Dt: 1/2/14 Hrs/mth: 0-16 Duties: Pay Bills Bus Nm: Marten Moldels & Mold Corp Optional Buy Sell Agreement Invst Rld: No Addr: 30150 Telegraph Rd Ste 408 Bingham Farms MI 48025 Nat of Bus: Admin Ins Policies Ttl: Ttee Strt Dt: 8/31/90 Hrs/mth: 0-16 Duties: Administer Ins Polcies

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

October 9, 2020 - November 15, 2024

OXBOW ADVISORS, LLC

RIA

CRD#: 156393

Macomb, MI

Past

April 21, 2016 - June 18, 2020

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

BINGHAM FARMS, MI

Past

June 23, 2010 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

Bingham Farms, MI

Past

January 9, 2007 - June 18, 2020

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Bingham Farms, MI

Past

September 11, 2002 - December 31, 2006

VALMARK SECURITIES, INC.

CRD#: 31243

TROY, MI

Past

November 20, 2000 - October 4, 2002

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

February 12, 1993 - September 18, 2002

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

Past

July 19, 1968 - February 11, 1993

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

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".

OXBOW ADVISORS, LLC

CRD#: 156393 / SEC#: 801-72387

RIA

Registered Investment Advisory firm - (6/6/2011 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

State Security Law Exam

IAR

Series 65

Date: 5/24/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/2/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 6/21/1968

Registered Representative Examination

Current Firm

OXBOW ADVISORS, LLC

CRD#: 156393 / SEC#: 801-72387

RIA

Registered Investment Advisory firm - (6/6/2011 Approved)

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Contact information

Main Address

200 West 6th Street Suite 1920, Austin, TX 78701

Mailing Address

Phone number

(512) 386-1088

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OXBOW ADVISORS, LLC FORM ADV PART 2A (7/16/2025)

Regulatory assets under management

Total Number of Accounts	1,625
AUM (Assets Under Management)	$ 2,097,433,511

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/19/2024	Cover Page	Report
03/14/2024	Cover Page	Report
02/08/2023	Cover Page	Report

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

Victor R. Battani

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

VALMARK SECURITIES, INC.

NEW ENGLAND SECURITIES

VESTAX SECURITIES CORPORATION

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

OXBOW ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/24/2010

Series 63

Date: 6/2/1999

SIE

Date: 10/1/2018

Series 1

Date: 6/21/1968

Current Firm

OXBOW ADVISORS, LLC

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

OXBOW ADVISORS, LLC

TRUST BUT VERIFY

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