Randall B. Batterman
Professional summary
Randall Barrett Batterman III was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Randall is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Randall had worked at 3 firms, which includes ALEXANDER WESCOTT & CO. INC., RASHID HUSSAIN SECURITIES INC., KAUFMAN BROS. L.P..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 1997 - August 13, 1997
ALEXANDER, WESCOTT, & CO., INC.
September 9, 1996 - February 14, 1997
RASHID HUSSAIN SECURITIES INC.
October 20, 1995 - March 22, 1996
KAUFMAN BROS., L.P.
State Registrations and Notice Filings
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Exams
Current Firm
ALEXANDER, WESCOTT, & CO., INC.
CRD#: 35935 / SEC#: , 8-46935
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE FINANCIAL COMMERCE NETWORK INC. | SHAREHOLDER/PARENT | |
| BACH, RICHARD HANS | CHAIRMAN AND CEO | 1011097 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
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