Betsy L. Battle

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CRD#: 1498801

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.

Betsy Lee Battle was a registered financial professional .

Betsy is a previously registered financial professional and started their career in finance in 1987. Betsy had worked at 7 firms and has passed the Series 63, Series 3, Series 7, Series 52 and Series 24 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.

The advisor shows no other business activity.

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

March 2, 2012 - December 31, 2016

LONE PEAK PARTNERS MANAGEMENT LP

RIA

CRD#: 156546

NEW YORK, NY

Past

October 3, 2000 - November 22, 2005

ARAPAHO PARTNERS, LLC

CRD#: 44665

NEW YORK, NY

Past

May 26, 1998 - November 30, 1998

EIM SECURITIES (USA) INC.

CRD#: 40065

NEW YORK, NY

Past

August 27, 1997 - April 9, 1998

CAROLINA BARNES CAPITAL INC.

CRD#: 28802

STAMFORD, CT

Past

May 20, 1991 - July 21, 1997

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

August 22, 1990 - May 16, 1991

JPMSI

CRD#: 15733

NEW YORK, NY

Past

November 17, 1987 - August 13, 1990

CITICORP SECURITIES, INC.

CRD#: 7474

NEW YORK, NY

Past

May 1, 1987 - October 21, 1987

DB ALEX. BROWN LLC

CRD#: 17790

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".

LONE PEAK PARTNERS MANAGEMENT LP

CRD#: 156546 / SEC#: 801-73174

RIA

Registered Investment Advisory firm - (2/15/2012 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

Series 63

Date: 6/18/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 8/3/1998

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/17/1986

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 7/21/1983

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/6/1989

General Securities Principal Examination

Current Firm

LONE PEAK PARTNERS MANAGEMENT LP

CRD#: 156546 / SEC#: 801-73174

RIA

Registered Investment Advisory firm - (2/15/2012 Approved)

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Contact information

Main Address

745 Fifth Avenue 5th Floor, New York, NY 10151

Mailing Address

Phone number

(646) 430-8675

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LONE PEAK - FORM ADV, PART 2 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	3
AUM (Assets Under Management)	$ 186,264,059

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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Advisor Monitoring

Firm Stability Insights

Betsy L. Battle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ARAPAHO PARTNERS, LLC

EIM SECURITIES (USA) INC.

CAROLINA BARNES CAPITAL INC.

DB ALEX. BROWN LLC

JPMSI

CITICORP SECURITIES, INC.

DB ALEX. BROWN LLC

Primary Firm SEC Registration

LONE PEAK PARTNERS MANAGEMENT LP

State Registrations and Notice Filings

Exams

Series 63

Date: 6/18/1986

Series 3

Date: 8/3/1998

Series 7

Date: 5/17/1986

Series 52

Date: 7/21/1983

Series 24

Date: 2/6/1989

Current Firm

LONE PEAK PARTNERS MANAGEMENT LP

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LONE PEAK PARTNERS MANAGEMENT LP

TRUST BUT VERIFY

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