Roger L. Batty
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.
Roger Laurence Batty was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1971. Roger had worked at 4 firms and has passed the Series 63, Series 7, Series 4, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 1980 - June 19, 2000
SECURITY RESEARCH ASSOCIATES, INC.
February 19, 1975 - May 14, 1980
BIRR, WILSON & CO., INC.
March 9, 1973 - April 21, 1974
CHARLES SCHWAB & CO., INC.
July 23, 1971 - March 9, 1973
FIRST COMMANDER CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
F04
Date: 3/18/1980
Financial Principal ExaminationSeries 00
Date: 7/15/1971
General Securities Principal ExaminationCurrent Firm
SECURITY RESEARCH ASSOCIATES, INC.
CRD#: 8200 / SEC#: , 8-24626
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SWIFT, BRIAN GARNER | CHAIRMAN | 441317 |
| COLLINS, TIMOTHY | PRESIDENT, CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR - CAPITAL MARKETS | 51366 |
| DE-JOUNGE, ANDERS ARENDT | OWNER | 2318841 |
| MAGOWAN, JAMES BASIL | OWNER | 5781647 |
| HAMILTON, GARY LEE | OWNER & SECRETARY | 4851778 |
| KLAGES, WILLIAM ALBERT | OWNER | 4748921 |
| LEWIS, CRAIG STOUT | OWNER | 5501107 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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