Jonathan R. Batting

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CRD#: 2459803

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.

Jonathan Robert Batting, who also goes by Jon Batting, was a registered financial professional .

Jonathan is a previously registered financial professional and started their career in finance in 1994. Jonathan had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jon Batting

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) NAME OF OTHER BUSINESS: UBER, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: RIDESHARE, START DATE: 02/2015, POSITION/TITLE/RELATIONSHIP: DRIVER, APX NUMBER OF HOURS PER WEEK: 20, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: RIDESHARE DRIVER; (2) NAME OF OTHER BUSINESS: LYFT, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: RIDE SHARE, START DATE: 03/2021, POSITION/TITLE/RELATIONSHIP: DRIVER, APX NUMBER OF HOURS PER WEEK: 10, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: RIDESHARE DRIVER; (3) NAME OF OTHER BUSINESS: AMAZON, INVESTMENT RELATED: NO, ADDRESS: 13144 34TH ST, CLEARWATER, FL, 33762, NATURE OF BUSINESS: ONLINE SALES, START DATE: 11/2023, POSITION/TITLE/RELATIONSHIP: WAREHOUSE WORKER, APX NUMBER OF HOURS PER WEEK: 20, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: SORT PACKAGES IN WAREHOUSE, FOR DELIVERY;

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

None

Experience

Past

February 28, 2024 - December 19, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

THONOTOSASSA, FL

Past

August 19, 2021 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

THONOTOSASSA, FL

Past

August 18, 2021 - December 19, 2024

CETERA ADVISORS LLC

CRD#: 10299

THONOTOSASSA, FL

Past

June 1, 2009 - August 24, 2021

MORGAN STANLEY

RIA

CRD#: 149777

Tampa, FL

Past

June 1, 2009 - August 24, 2021

MORGAN STANLEY

CRD#: 149777

Tampa, FL

Past

September 19, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

TAMPA, FL

Past

July 25, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

TAMPA, FL

Past

June 16, 2006 - July 16, 2007

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

TAMPA, FL

Past

March 14, 1997 - July 25, 2001

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

December 6, 1995 - March 14, 1997

TUSCANY EQUITY MANAGEMENT CORPORATI0N

CRD#: 20016

DEERFIELD BEACH, FL

Past

August 2, 1995 - December 8, 1995

W.J. GALLAGHER & COMPANY, INC.

CRD#: 11097

PASADENA, CA

Past

April 14, 1994 - July 26, 1995

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/14/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/9/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/15/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 10/3/2006

General Securities Principal Examination

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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Firm Stability Insights

Jonathan R. Batting

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CHASE INVESTMENT SERVICES CORP.

GUNNALLEN FINANCIAL, INC

TUSCANY EQUITY MANAGEMENT CORPORATI0N

W.J. GALLAGHER & COMPANY, INC.

CHATFIELD DEAN & CO., INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/14/2007

Series 63

Date: 8/9/2006

SIE

Date: 10/1/2018

Series 7

Date: 6/15/2006

Series 10

Date: 1/2/2023

Series 24

Date: 10/3/2006

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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