AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
TB

Thomas M. Batchelor

GLOBALIST CAPITAL
Santa Monica, CA 90401
Some features on this profile are disabled
CRD#: 2910864
TB

Professional summary

Thomas Murphey Batchelor III, who also goes by Thomas Murphey Batchelor, Tim Batchelor, is a registered financial professional currently at GLOBALIST CAPITAL, LLC located in Santa Monica, California.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1997. Thomas has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas Murphey Batchelor | Tim Batchelor

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Murphey Batchelor III'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®
None

Experience

Current

November 8, 2018 - Present

GLOBALIST CAPITAL, LLC

Office #1: 100 Wilshire Blvd. Suite 750, Santa Monica, CA 90401
BD
CRD#: 152786
Santa Monica, CA
Past

June 28, 2010 - November 9, 2016

BURCH & COMPANY, INC

BD
CRD#: 102280
TYSONS CORNER, VA
Past

November 15, 2002 - January 5, 2010

HOVDE GROUP, LLC

BD
CRD#: 25425
INVERNESS, IL
Past

September 4, 1997 - November 29, 2000

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

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

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
California
(11/8/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 9/3/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/9/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/2/1997
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

GC
GLOBALIST CAPITAL, LLC
GLOBALIST CAPITAL, LLC | HIGHLINE SECURITIES, LLC | GLOBALIST SECURITIES, LLC

CRD#: 152786 / SEC#: , 8-68478

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
100 Wilshire Blvd. Suite 750, Santa Monica, CA 90401
Mailing Address
100 Wilshire Blvd. Suite 750, Santa Monica, CA 90401
Phone number
(310) 319-2000
Established
Delaware since 11/06/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BARON ADVISORS, LLCMANAGING MEMBER
KIRSCHENBLATT, CHAD ETHANCFO/FINOP2503352
MORGANBESSER, NEIL BARRYCEO/CCO2375615

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.

Company Information

GLOBALIST CAPITAL, LLC

CRD#: 152786Santa Monica, CA 90401

TRUST BUT VERIFY

Monitor Thomas Batchelor

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Jon Derek Neuhaus
Jon NeuhausAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
El Segundo, CA
John Tanner Powell
John PowellAdvisorCheck Check Mark
EQUITABLE ADVISORS, LLC
IAR
RR
Los Angeles, CA
Danielle Purcell Barrios
Danielle BarriosAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
Beverly Hills, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.