David G. Batten
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.
David George Batten, CFP®, CIMA® was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2015 - December 31, 2018
GROVE POINT INVESTMENTS, LLC
January 13, 2015 - September 25, 2023
ANNEX WEALTH MANAGEMENT, LLC
August 1, 2012 - January 9, 2015
BMO HARRIS FINANCIAL ADVISORS, INC.
August 1, 2012 - January 9, 2015
BMO HARRIS FINANCIAL ADVISORS, INC.
April 19, 2012 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
April 8, 2010 - April 18, 2012
M&I INVESTMENT MANAGEMENT CORP.
September 15, 2005 - March 25, 2010
M&I FINANCIAL ADVISORS, INC
January 26, 1994 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
August 18, 1987 - April 26, 1988
KIDDER, PEABODY & CO. INCORPORATED
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
Current Firm
GROVE POINT INVESTMENTS, LLC
CRD#: 1763 / SEC#: 801-undefined, 8-31165
Contact information
FINRA licenses (3 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| Bond | 1 |
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.
