Robert C. Batick

THE PATRIOT FINANCIAL GROUP

Guilford, CT 06437

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CRD#: 2192524

Professional summary

Robert Charles Batick JR, AIF®, who also goes by Bob Batick, is a registered financial advisor currently at THE PATRIOT FINANCIAL GROUP, LLC located in Guilford, Connecticut and CETERA INVESTMENT ADVISERS LLC located in Guilford, Connecticut.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Robert has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bob Batick

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) PATRIOT FINANCIAL GROUP; GUILFORD, CT ; INVESTMENT RELATED; INVESTMENT ADVISORY SERVICES; FINANCIAL ADVISOR; SINCE 05/2021; 160 HOURS/MO 2) RIVERSIDE RETIREMENT ADVISORS; GUILFORD, CT; INVESTMENT RELATED; DBA FOR INVESTMENT ADVISORY SERVICES; FINANCIAL ADVISOR; SINCE 05/2021; 160 HOURS/MO 3) WHITFIELD RETIREMENT SERVICES, LLC GUILFORD, CT; INVESTMENT RELATED; DBA FOR INVESTMENT ADVISORY SERVICES; FINANCIAL ADVISOR; SINCE 06/2011; 160 HOURS/MO 4) DGB, LLC; GUILFORD, CT; NON -INVESTMENT RELATED; LLC ESTABLISHED FOR POTENTIAL FUTURE OPPORTUNITIES; OWNER/INACTIVE ENTITY; SINCE 05/2006; 1 HOURS/MO

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Charles Batick JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Current

May 21, 2021 - Present

THE PATRIOT FINANCIAL GROUP, LLC

Office #1: 99 Whitfield St Unit 10, Guilford, CT 06437

RIA

CRD#: 172470

Guilford, CT

Current

March 6, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 99 Whitfield St Unit 10, Guilford, CT 06437

RIA

CRD#: 105644

GUILFORD, CT

Current

December 15, 2022 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 99 Whitfield St Unit 10, Guilford, CT 06437

CRD#: 10358

Guilford, CT

Past

May 18, 2021 - December 15, 2022

SECURITIES AMERICA, INC.

CRD#: 10205

GUILFORD, CT

Past

June 17, 2011 - June 9, 2021

WESTPORT CAPITAL MARKETS, LLC

RIA

CRD#: 41562

GUILFORD, CT

Past

June 17, 2011 - June 9, 2021

WESTPORT CAPITAL MARKETS, LLC

CRD#: 41562

GUILFORD, CT

Past

March 7, 2005 - June 28, 2011

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

NEW HAVEN, CT

Past

March 7, 2005 - June 28, 2011

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW HAVEN, CT

Past

September 6, 2000 - March 31, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

NEW HAVEN, CT

Past

August 21, 2000 - March 31, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

August 17, 1992 - August 29, 2000

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

March 5, 1992 - July 9, 1992

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Connecticut
(5/21/2021)

Connecticut
(12/16/2022)

IAR

Texas
(8/17/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/20/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/18/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/19/1998

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/3/1992

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Robert C. Batick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Charles Batick JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

SECURITIES AMERICA, INC.

WESTPORT CAPITAL MARKETS, LLC

WESTPORT CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

PRUDENTIAL EQUITY GROUP, LLC

ALEX. BROWN & SONS INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/20/1994

Series 63

Date: 3/18/1992

SIE

Date: 10/1/2018

Series 31

Date: 1/19/1998

Series 7

Date: 3/3/1992

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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