Brenton L. Bataille
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.
Brenton Louis Bataille was a registered financial professional .
Brenton is a previously registered financial professional and started their career in finance in 1990. Brenton had worked at 5 firms and has passed the 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 1, 1999 - December 31, 2018
SPENCER EDWARDS, INC.
September 9, 1997 - December 31, 1998
LUMIERE SECURITIES, INC.
October 23, 1996 - October 9, 1997
TEXAS CAPITAL SECURITIES, INC.
September 1, 1994 - September 17, 1996
AMERICAN FRONTEER FINANCIAL CORPORATION
July 30, 1990 - August 26, 1994
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
SPENCER EDWARDS, INC.
CRD#: 22067 / SEC#: , 8-39511
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
| Arbitration | 2 |
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.
