Daniel T. Battcher
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.
Daniel Thomas Battcher, who also goes by Dan Battcher, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1988. Daniel had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2016 - May 4, 2021
CUNA BROKERAGE SERVICES, INC.
March 23, 2016 - May 4, 2021
CUNA BROKERAGE SERVICES, INC.
February 10, 2009 - October 15, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 10, 2009 - October 15, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 14, 2008 - December 18, 2008
M&I FINANCIAL ADVISORS, INC
May 31, 2006 - May 29, 2008
STONEFIELD INVESTMENT ADVISORY, INC.
May 30, 2006 - April 28, 2008
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 31, 2003 - May 30, 2006
CETERA WEALTH SERVICES, LLC
January 13, 2003 - April 11, 2003
LOCUST STREET SECURITIES, INC.
August 5, 2002 - December 31, 2002
THRIVENT INVESTMENT MANAGEMENT INC.
July 1, 2002 - December 31, 2002
THRIVENT INVESTMENT MANAGEMENT INC.
September 30, 1999 - August 5, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
April 20, 1988 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
