Jefferson F. Batt
CETERA INVESTMENT ADVISERS LLC
MCHENRY, IL 60050
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CRD#: 2758452
Professional summary
Jefferson F Batt, CFP®, who also goes by Jeff Batt, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mchenry, Illinois and CETERA WEALTH SERVICES, LLC located in Mchenry, Illinois.
Jefferson is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Jefferson has worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff Batt
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 ENTITY: BATT FINANCIAL GROUP, INC. ALSO DBA MCHENRY FIANCIAL; YES; 2900 SAME AS REGISTERED LOCATION; FINANCIAL SERVICES/DBA; PRESIDENT; 4/1/2012; 160; 160; SALE AND SERVICE INSURANCE, SECURITIES AND INVESTMENT PRODUCTS; 2) NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; YES; SAME AS REGISTERED LOCATION; 60081; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 2/3/2010; 20; 20; SALES OF FIXED INSURANCE PRODUCTS; 3) NAME OF ENTITY: INCUBATOREDU; NO; 333 S GREEN ST; MCHENRY; IL; 60050; CHARITABLE ORGANIZATION; BOARD OF ADVISORS MEMBER; 7/1/2018; 2; 2; THE BOARD OF DIRECTORS/ADVISORS (AKA THE BOARD) IS A GROUP OF VOLUNTEER BUSINESS PROFESSIONALS AND ENTREPRENEURS WHO OFFER STRATEGIC DIRECTION TO STUDENT TEAMS. THESE VOLUNTEERS WILL BE IN THE CLASSROOM TWO TIMES IN THE SCHOOL YEAR: MVP PITCH AND FINAL PITCH (ACADEMIC AND LIVE COMPETITION); 4) NAME OF OTHER BUSINESS: JEFFERSON & CAROLE BATT; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: REAL ESTATE; START DATE: 03/2025; POSITION/TITLE/RELATIONSHIP: PROPERTY OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: OFFICE SPACE RENTAL;
CRS (Client Relationship Summary) - RIA
Click below to view Jefferson F Batt's 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®
CFP®
Start date: 2018
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4310 W. Crystal Lake Road Ste H, Mchenry, IL 60050Office #2: 401 N. Main Street, Rochelle, IL 61068RIA
CRD#: 105644
MCHENRY, IL
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4310 W. Crystal Lake Road Ste H, Mchenry, IL 60050BD
CRD#: 13572
Mchenry, IL
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
February 4, 2010 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
SPRING GROVE, IL
Past
February 3, 2010 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
SPRING GROVE, IL
Past
October 30, 2007 - February 5, 2010
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
MCHENRY, IL
Past
October 4, 2006 - February 5, 2010
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
MCHENRY, IL
Past
August 6, 1996 - June 29, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
Colorado(6/9/2021)
RR
Florida(6/10/2021)
RR
Georgia(6/9/2021)
RR
Illinois(6/9/2021)
IAR
Illinois(6/29/2023)
RR
Indiana(10/21/2021)
RR
Iowa(7/30/2024)
RR
Kentucky(5/14/2025)
RR
Mississippi(5/14/2025)
RR
Ohio(1/4/2024)
RR
Oregon(6/9/2021)
RR
Pennsylvania(5/14/2025)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Wisconsin(6/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
