Jan R. Batson
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.
Jan Renee Batson was a registered financial professional .
Jan is a previously registered financial professional and started their career in finance in 1986. Jan had worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2008 - July 9, 2021
FIDELITY BROKERAGE SERVICES LLC
November 16, 1999 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
June 6, 1997 - November 16, 1999
FIDELITY BROKERAGE SERVICES LLC
September 7, 1990 - June 4, 1997
FIDELITY DISTRIBUTORS COMPANY LLC
August 1, 1990 - September 7, 1990
FIDELITY DISTRIBUTORS CORPORATION
January 7, 1987 - December 31, 1989
FIDELITY BROKERAGE SERVICES LLC
November 12, 1986 - December 12, 1986
FIDELITY DISTRIBUTORS CORPORATION
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: 1/25/2024
General Securities Representative ExaminationCurrent Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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