David G. Batu
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 Gunes Batu, who also goes by Gunes Batu, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 1992 - December 31, 1994
VANGUARD CAPITAL
September 24, 1992 - October 29, 1992
SPELMAN & CO., INC.
August 8, 1991 - September 24, 1992
UBS FINANCIAL SERVICES INC.
May 15, 1990 - July 10, 1991
PRUDENTIAL EQUITY GROUP, LLC
September 24, 1987 - May 29, 1990
A. G. EDWARDS & SONS, INC.
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
VANGUARD CAPITAL
CRD#: 22081 / SEC#: 801-71971, 8-39450
Contact information
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
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.
