Bruce W. Batley
Professional summary
Bruce William Batley was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Bruce is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Bruce had worked at 3 firms, which includes PENN CAPITAL FINANCIAL SERVICES INC., L.C. WEGARD & CO. INC., HIBBARD BROWN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 1994 - October 27, 1995
PENN CAPITAL FINANCIAL SERVICES, INC.
January 9, 1992 - March 11, 1994
L.C. WEGARD & CO., INC.
November 23, 1988 - November 19, 1991
HIBBARD BROWN & CO., 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
PENN CAPITAL FINANCIAL SERVICES, INC.
CRD#: 10640 / SEC#: , 8-28011
Contact information
Documents
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.
