Alex E. Batlle
Professional summary
Alex Ernesto Batlle was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Alex is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Alex had worked at 4 firms, which includes FOREST SECURITIESINC., PRINCIPAL SECURITIES INC., CETERA FINANCIAL SPECIALISTS LLC, PFS INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2015 - September 3, 2015
FOREST SECURITIES,INC.
July 7, 2008 - April 23, 2015
PRINCIPAL SECURITIES, INC.
January 23, 2007 - July 3, 2008
CETERA FINANCIAL SPECIALISTS LLC
May 11, 1994 - April 29, 2005
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Exams
Current Firm
FOREST SECURITIES,INC.
CRD#: 16255 / SEC#: , 8-33568
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIVE TRIBAL ALLIANCE, LLC | SOLE SHAREHOLDER | |
| DUNNE, MICHAEL FITZGERALD | PRESIDENT/COO/FINOP/CCO | 1676474 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
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