RB
Robert C. Battin
NATIONS FINANCIAL GROUP
Silverdale, WA 98383
Some features on this profile are disabled
CRD#: 1613817
RB
Professional summary
Robert Charles Battin, who also goes by Bob Battin, is a registered financial advisor currently at NATIONS FINANCIAL GROUP, INC. located in Silverdale, Washington.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Robert has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Battin
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.
(1) CORINTHIAN WEALTH PARTNERS LLC. 3491 NW ANDERSON HILL RD NW. SILVERDALE, WA 98383. IS INVESTMENT RELATED. NATURE OF BUSINESS IS DBA TO OFFER INVESTMENT AND ADVISORY SERVICES. POSITION IS OWNER. STARTED 3/1/2013. SPEND APPROX 0 HRS ON BUSINESS. DUTIES ARE TO MAKE DECISIONS ON ANY ISSUES REGARDING THE COMPANY. (2) CORINTHIAN WEALTH PARTNERS 401K; 3491 NW ANDERSON HILLL RD NW. SILVERDALE, WA 98383. IS INVESTMENT RELATED. NATURE OF BUSINESS IS 401K PLAN. POSITION IS TTEE. STARTED 3/1/2013. APX 1 HOUR/MONTH, 0 DURING TRADING; DUTIES ARE AS TRUSTEE FOR 401K PLAN (3) ANDERSON HILL PROPERTIES; 3491 ANDERSON HILL RD, SILVERDALE, WA 98383; NOT INVESMENT RELATED. NATURE OF BUSINESS IS COMMERCIAL PROPERTY; POSITION IS OWNER; STARTED 4/2/2018; APX 4 HOURS/MONTH, NONE DURING TRADING; DUTIES ARE TO MANAGE COMMERCIAL PROPERTY
CRS (Client Relationship Summary) - RIA
Click below to view Robert Charles Battin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Charles Battin's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 5, 2021 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 3491 Nw Anderson Hill Rd., Silverdale, WA 98383RIA
BD
CRD#: 44181
Silverdale, WA
Current
February 5, 2021 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 3491 Nw Anderson Hill Rd., Silverdale, WA 98383RIA
BD
CRD#: 44181
Silverdale, WA
Past
August 22, 2019 - February 10, 2021
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SILVERDALE, WA
Past
December 1, 2017 - February 10, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
SILVERDALE, WA
Past
December 1, 2017 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
SILVERDALE, WA
Past
September 30, 2011 - December 6, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
SILVERDALE, WA
Past
September 30, 2011 - December 6, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
SILVERDALE, WA
Past
June 1, 2009 - October 17, 2011
MORGAN STANLEY
RIA
CRD#: 149777
SILVERDALE, WA
Past
June 1, 2009 - October 17, 2011
MORGAN STANLEY
BD
CRD#: 149777
SILVERDALE, WA
Past
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SILVERDALE, WA
Past
November 7, 1990 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
SILVERDALE, WA
Past
January 21, 1987 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
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".
NF
NATIONS FINANCIAL GROUP, INC.
FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
RIA
Registered Investment Advisory firm - SEC (5/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/5/2021)
RR
Arizona(2/5/2021)
RR
California(2/5/2021)
RR
Colorado(2/5/2021)
RR
Florida(2/5/2021)
RR
Georgia(9/19/2022)
IAR
Georgia(2/27/2023)
RR
Hawaii(2/26/2021)
RR
Idaho(2/5/2021)
RR
Indiana(2/12/2021)
RR
Massachusetts(2/5/2021)
RR
Mississippi(2/5/2021)
RR
Montana(4/27/2023)
RR
Nebraska(8/6/2021)
RR
Nevada(2/5/2021)
RR
North Carolina(1/26/2022)
RR
Oklahoma(7/2/2024)
RR
Oregon(2/5/2021)
RR
Pennsylvania(1/29/2024)
RR
Texas(2/5/2021)
IAR
Texas(2/22/2023)
RR
Virginia(2/19/2021)
RR
Washington(2/5/2021)
IAR
Washington(2/5/2021)
RR
Wisconsin(3/2/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NF
NATIONS FINANCIAL GROUP, INC.
FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
RIA
Registered Investment Advisory firm - SEC (5/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411
Mailing Address
3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411
Phone number
(319) 393-9541
Established
Iowa since 11/14/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
87
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 9,822 |
| AUM (Assets Under Management) | $ 3,867,522,560 |
Disclosures
| Arbitration | 1 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2025 | ||
| 09/26/2024 | ||
| 11/22/2023 | ||
| 12/28/2022 |
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.
