Daniel L. Bateman
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.
Daniel Lee Bateman was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1986. Daniel had worked at 3 firms and has passed the Series 63 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2022 - December 31, 2022
FINANCIAL SYSTEMS MANAGEMENT, INC
May 9, 1988 - September 10, 1996
GROVE POINT INVESTMENTS, LLC
May 5, 1986 - September 3, 1987
CETERA WEALTH SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FINANCIAL SYSTEMS MANAGEMENT, INC
CRD#: 121310 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 15 |
| AUM (Assets Under Management) | $ 11,082,980 |
Red Flags
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