William A. Batchelor
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.
William Alfred Batchelor JR, who also goes by Bill Batchelor, William Alfred Batchelor, was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1997. William had worked at 6 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2009 - February 16, 2010
FINANCIAL ADVISERS OF AMERICA, LLC
August 11, 2009 - February 16, 2010
FINANCIAL ADVISERS OF AMERICA, LLC
June 23, 2009 - August 14, 2009
OSAIC WEALTH, INC.
June 9, 2009 - August 14, 2009
OSAIC WEALTH, INC.
September 10, 2004 - February 26, 2009
CITIGROUP GLOBAL MARKETS INC.
September 10, 2004 - February 26, 2009
CITIGROUP GLOBAL MARKETS INC.
November 13, 2003 - September 23, 2004
QUICK & REILLY, INC.
November 13, 2003 - September 23, 2004
QUICK & REILLY, INC.
August 2, 2002 - November 26, 2003
UBS FINANCIAL SERVICES INC.
August 2, 2002 - November 26, 2003
UBS FINANCIAL SERVICES INC.
October 16, 1998 - August 7, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 14, 1998 - August 7, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 18, 1997 - August 24, 1998
UBS FINANCIAL SERVICES 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 ADVISERS OF AMERICA, LLC
CRD#: 142170 / SEC#: 801-69221, 8-67436
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHNSTON, KENNETH MERLE JR | MANAGING DIRECTOR, PRINCIPAL & CCO | 2437725 |
| SABINS, SCOTT ALAN | MEMBER | 834085 |
| BLAIR, ANTHONY FRANCIS | MEMBER | 1257306 |
| CUNNINGHAM, CRAIG, L | MEMBER | |
| KARG, CAMERON LEE | MEMBER | 264368 |
| LASARZIG, WILLIAM R JR. | MEMBER | 5708816 |
| SABINS, STEVEN WILLIAM | MEMBER | |
| WILSON, RODNEY E S | MEMBER | |
| ADAMS, ROSEMARIE CHIYOKO | MEMBER | 4638793 |
| AHERN, PRISCILLA A | MEMBER | 5720406 |
| AHERN, THOMAS S | MEMBER | 5720404 |
| DENNEY, NICOLETTE IRISA | FINOP | 1090644 |
| HUGHES, MICHAEL LEWIS | MEMBER | 1498127 |
| JOHNSTON, JODI MARIE | MEMBER | 2836464 |
| LUKEHART, DILLON JAMES | MEMBER | 6109420 |
| PELLAND, MICHAEL JOHN | MEMBER | 2845866 |
| PESAVENTO, ROBERT J | MEMBER | 5720397 |
| PESAVENTO, SUSAN J | MEMBER | 5720402 |
| PROUD, EILEEN MARIEL | MEMBER | 1019703 |
| WARNER, DONALD ALAN | MEMBER | 459120 |
Disclosures
| Arbitration | 1 |
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.
