Gary J. Batch
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.
Gary John Batch, who also goes by Gary J Batch, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1995. Gary had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2010 - December 31, 2011
FINANCIAL WEST GROUP
February 23, 2004 - December 10, 2009
LPL FINANCIAL LLC
October 20, 2003 - January 15, 2004
EDWARD JONES
May 13, 1998 - October 17, 2003
WADDELL & REED
January 16, 1998 - March 11, 1998
IDS LIFE INSURANCE COMPANY
January 16, 1998 - March 11, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
November 22, 1995 - December 31, 1996
WMA SECURITIES, 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
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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